16106324D
HOUSE BILL NO. 1362
AMENDMENT IN THE NATURE OF A SUBSTITUTE
(Proposed by the Joint Conference Committee
on March 11, 2016)
(Patrons Prior to Substitute--Delegates Gilbert [HBs 779, 868,
889, 890, 891, 892, and 1361] and McClellan [HBs 857, 860, 861, and 862])
A BILL to amend and reenact §§2.2-419, 2.2-426, 2.2-427,
2.2-3101, 2.2-3106, 2.2-3109.1, 2.2-3114, 2.2-3115, 2.2-3116, as it is
currently effective and as it shall become effective, 2.2-3117, 2.2-3118,
2.2-3118.1, 24.2-502, 30-101, 30-110, 30-111, 30-356, and 30-356.1 of the Code
of Virginia and to amend the Code of Virginia by adding sections numbered
2.2-3114.2, 30-110.1, and 30-356.2, relating to lobbyist reporting, the State
and Local Government Conflict of Interests Act, and the General Assembly
Conflicts of Interests Act; annual filing of required disclosures; definition
of gift; separate report of gifts; definition of procurement action; technical
amendments.
Be it enacted by the General Assembly of Virginia:
1. That §§2.2-419, 2.2-426, 2.2-427, 2.2-3101, 2.2-3106,
2.2-3109.1, 2.2-3114, 2.2-3115, 2.2-3116, as it is currently effective and as
it shall become effective, 2.2-3117, 2.2-3118, 2.2-3118.1, 24.2-502, 30-101,
30-110, 30-111, 30-356, and 30-356.1 of the Code of Virginia are amended and
reenacted and that the Code of Virginia is amended by adding sections numbered
2.2-3114.2, 30-110.1, and 30-356.2 as follows:
§2.2-419. Definitions.
As used in this article, unless the context requires a
different meaning:
"Anything of value" means:
1. A pecuniary item, including money, or a bank bill or note;
2. A promissory note, bill of exchange, order, draft, warrant,
check, or bond given for the payment of money;
3. A contract, agreement, promise, or other obligation for an
advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan,
payment, gift, pledge, or transfer of money;
4. A stock, bond, note, or other investment interest in an
entity;
5. A receipt given for the payment of money or other property;
6. A right in action;
7. A gift, tangible good, chattel, or an interest in a gift,
tangible good, or chattel;
8. A loan or forgiveness of indebtedness;
9. A work of art, antique, or collectible;
10. An automobile or other means of personal transportation;
11. Real property or an interest in real property, including
title to realty, a fee simple or partial interest, present or future,
contingent or vested within realty, a leasehold interest, or other beneficial
interest in realty;
12. An honorarium or compensation for services;
13. A rebate or discount in the price of anything of value
unless the rebate or discount is made in the ordinary course of business to a
member of the public without regard to that person's status as an executive or
legislative official, or the sale or trade of something for reasonable
compensation that would ordinarily not be available to a member of the public;
14. A promise or offer of employment; or
15. Any other thing of value that is pecuniary or compensatory
in value to a person.
"Anything of value" does not mean a campaign
contribution properly received and reported pursuant to Chapter 9.3 (§24.2-945
et seq.) of Title 24.2.
"Compensation" means:
1. An advance, conveyance, forgiveness of indebtedness,
deposit, distribution, loan, payment, gift, pledge, or transfer of money or
anything of value; or
2. A contract, agreement, promise or other obligation for an
advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan,
payment, gift, pledge, or transfer of money or anything of value, for services
rendered or to be rendered.
"Compensation" does not mean reimbursement of
expenses if the reimbursement does not exceed the amount actually expended for
the expenses and it is substantiated by an itemization of expenses.
"Council" means the Virginia Conflict of Interest
and Ethics Advisory Council established in §30-355.
"Executive action" means the proposal, drafting,
development, consideration, amendment, adoption, approval, promulgation,
issuance, modification, rejection, or postponement by an executive agency or
official of legislation or executive orders issued by the Governor.
"Executive action" includes procurement transactions.
"Executive agency" means an agency, board,
commission, or other body in the executive branch of state government.
"Executive agency" includes the State Corporation Commission, the
Virginia Workers' Compensation Commission, and the Virginia Lottery.
"Executive official" means:
1. The Governor;
2. The Lieutenant Governor;
3. The Attorney General;
4. Any officer or employee of the office of the Governor,
Lieutenant Governor, or Attorney General other than a clerical or secretarial
employee;
5. The Governor's Secretaries, the Deputy Secretaries, and the
chief executive officer of each executive agency; or
6. Members of supervisory and policy boards, commissions and
councils, as defined in §2.2-2100, however selected.
"Expenditure" means:
1. A purchase, payment, distribution, loan, forgiveness of a
loan or payment of a loan by a third party, advance, deposit, transfer of
funds, a promise to make a payment, or a gift of money or anything of value for
any purpose;
2. A payment to a lobbyist for salary, fee, reimbursement for
expenses, or other purpose by a person employing, retaining, or contracting for
the services of the lobbyist separately or jointly with other persons;
3. A payment in support of or assistance to a lobbyist or the
lobbyist's activities, including the direct payment of expenses incurred at the
request or suggestion of the lobbyist;
4. A payment that directly benefits an executive or
legislative official or a member of the official's immediate family;
5. A payment, including compensation, payment, or reimbursement
for the services, time, or expenses of an employee for or in connection with
direct communication with an executive or legislative official;
6. A payment for or in connection with soliciting or urging
other persons to enter into direct communication with an executive or
legislative official; or
7. A payment or reimbursement for categories of expenditures
required to be reported pursuant to this chapter.
"Expenditure" does not mean a campaign contribution
properly received and reported pursuant to Chapter 9.3 (§24.2-945 et seq.) of
Title 24.2.
"Fair market value" means the price that a good or
service would bring between a willing seller and a willing buyer in the open
market after negotiations. If the fair market value cannot be determined, the
actual price paid for the good or service shall be given consideration.
"Gift" means anything of value, including any
gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or
other item having monetary value, and includes services as well as gifts of
transportation, local travel, lodgings, and meals, whether provided in-kind or
by purchase of a ticket, payment in advance, or reimbursement after the expense
has been incurred.
"Gift" does not mean:
1. Printed informational or promotional material;
2. A gift that is not used and, no later than 60 days after
receipt, is returned to the donor or delivered to a charitable organization and
is not claimed as a charitable contribution for federal income tax purposes;
3. A devise or inheritance;
4. A gift of a value of $50 or less than $20;
5. Any offer of a ticket, coupon, or other admission or pass
unless the ticket, coupon, admission, or pass is used;
6. Any food or beverages provided to an individual at an event
at which the individual is performing official duties related to his public
service;
7. Any food and beverages received at or registration or
attendance fees waived for any event at which the individual is a featured
speaker, presenter, or lecturer;
8. An unsolicited award of appreciation or recognition in the
form of a plaque, trophy, wall memento, or similar item that is given in
recognition of public, civic, charitable, or professional service;
9. Any gift from to an individual's spouse,
child, uncle, aunt, niece, nephew, or first cousin; a person to whom the donee
is engaged to be married; the donee's or his spouse's parent, grandparent,
grandchild, brother, sister, step-parent, step-grandparent, step-grandchild,
step-brother, or step-sister; or the donee's brother's or sister's spouse;
10. Travel provided to facilitate attendance by a legislator
at a regular or special session of the General Assembly, a meeting of a
legislative committee or commission, or a national conference where attendance
is approved by the House Committee on Rules or its Chairman or the
Senate Committee on Rules or its Chairman; or
11. Travel related to an official meeting of the Commonwealth,
its political subdivisions, or any board, commission, authority, or other
entity, or any charitable organization established pursuant to §501(c)(3) of
the Internal Revenue Code affiliated with such entity, to which such person has
been appointed or elected or is a member by virtue of his office or employment.
"Immediate family" means (i) the spouse and (ii) any
other person who resides in the same household as the executive or legislative
official and who is a dependent of the official.
"Legislative action" means:
1. Preparation, research, drafting, introduction,
consideration, modification, amendment, approval, passage, enactment, tabling,
postponement, defeat, or rejection of a bill, resolution, amendment, motion,
report, nomination, appointment, or other matter by the General Assembly or a
legislative official;
2. Action by the Governor in approving, vetoing, or recommending
amendments for a bill passed by the General Assembly; or
3. Action by the General Assembly in overriding or sustaining
a veto by the Governor, considering amendments recommended by the Governor, or
considering, confirming, or rejecting an appointment of the Governor.
"Legislative official" means:
1. A member or member-elect of the General Assembly;
2. A member of a committee, subcommittee, commission, or other
entity established by and responsible to the General Assembly or either house
of the General Assembly; or
3. Persons employed by the General Assembly or an entity
established by and responsible to the General Assembly.
"Lobbying" means:
1. Influencing or attempting to influence executive or
legislative action through oral or written communication with an executive or
legislative official; or
2. Solicitation of others to influence an executive or
legislative official.
"Lobbying" does not mean:
1. Requests for appointments, information on the status of
pending executive and legislative actions, or other ministerial contacts if
there is no attempt to influence executive or legislative actions;
2. Responses to published notices soliciting public comment
submitted to the public official designated in the notice to receive the
responses;
3. The solicitation of an association by its members to
influence legislative or executive action; or
4. Communications between an association and its members and
communications between a principal and its lobbyists.
"Lobbyist" means:
1. An individual who is employed and receives payments, or who
contracts for economic consideration, including reimbursement for reasonable
travel and living expenses, for the purpose of lobbying;
2. An individual who represents an organization, association,
or other group for the purpose of lobbying; or
3. A local government employee who lobbies.
"Lobbyist's principal" or "principal"
means the entity on whose behalf the lobbyist influences or attempts to
influence executive or legislative action. An organization whose employees
conduct lobbying activities on its behalf is both a principal and an employer
of the lobbyists. In the case of a coalition or association that employs or
retains others to conduct lobbying activities on behalf of its membership, the
principal is the coalition or association and not its individual members.
"Local government" means:
1. Any county, city, town, or other local or regional
political subdivision;
2. Any school division;
3. Any organization or entity that exercises governmental
powers that is established pursuant to an interstate compact; or
4. Any organization composed of members representing entities
listed in subdivisions 1, 2, or 3 of this definition.
"Local government employee" means a public employee
of a local government.
"Person" means an individual, proprietorship, firm,
partnership, joint venture, joint stock company, syndicate, business trust,
estate, company, corporation, association, club, committee, organization, or
group of persons acting in concert.
"Procurement transaction" means all functions that
pertain to obtaining all goods, services, or construction on behalf of an
executive agency, including description of requirements, selection and
solicitation of sources, preparation and award of contract, and all phases of
contract administration where the stated or expected value of the contract
is $5 million or more.
"Secretary" means the Secretary of the Commonwealth.
"Value" means the actual cost or fair market value
of an item or items, whichever is greater. If the fair market value cannot be determined,
the actual amount paid for the item or items shall be given consideration.
"Widely attended event" means an event at which at
least 25 persons have been invited to attend or there is a reasonable
expectation that at least 25 persons will attend the event and the event is
open to individuals (i) who share a common interest, (ii) who are members of a
public, civic, charitable, or professional organization, (iii) who are from a
particular industry or profession, or (iv) who represent persons interested in
a particular issue.
§2.2-426. Lobbyist reporting; penalty.
A. Each lobbyist shall file with the Council a separate
semiannual annual report of expenditures, including gifts, for each
principal for whom he lobbies by December 15 for the preceding six-month
period complete through the last day of October and June 15 July 1
for the preceding six-month 12-month period complete through the
last day of April.
B. Each principal who expends more than $500 to employ or
compensate multiple lobbyists shall be responsible for filing a consolidated
lobbyist report pursuant to this section in any case in which the lobbyists are
each exempt under the provisions of subdivision 7 or 8 of §2.2-420 from the
reporting requirements of this section.
C. (Effective January 1, 2016, through July 1, 2016) The
report shall be on a form provided prescribed by the Council,
which shall be substantially similar to the following and shall be
accompanied by instructions provided by the Council.
C. (Effective July 1, 2016) The report shall be on a form
provided prescribed by the Council, which shall be substantially
similar to the following and shall be accompanied by instructions provided
by the Council. All reports shall be submitted electronically and in accordance
with the standards approved by the Council pursuant to the provisions of §
30-356.
LOBBYIST'S DISCLOSURE STATEMENT
PART I:
(1) PRINCIPAL: _____________________________________________________
In Part I, item 2a, provide the name of the individual
authorizing your employment as a lobbyist. The lobbyist filing
this statement MAY NOT list his name in item 2a.
(2a) Name: __________________________________________________________
(2b) Permanent Business Address: ____________________________________
(2c) Business Telephone: ____________________________________________
(3) Provide a list of executive and legislative actions (with as
much specificity as possible) for which you lobbied and a
description of activities conducted.
________________________________________________________________
________________________________________________________________
________________________________________________________________
(4) INCORPORATED FILINGS: If you are filing an incorporated
disclosure statement, please complete the following:
Individual filing financial information: _______________________
Individuals to be included in the filing: ______________________
________________________________________________________________
(5) Please indicate which schedules will be attached to your
disclosure statement:
[ ] Schedule A: Entertainment Expenses
[ ] Schedule B: Gifts
[ ] Schedule C: Other Expenses
(6) EXPENDITURE TOTALS:
a) ENTERTAINMENT ..................................... $ ______
b) GIFTS ............................................. $ ______
c) COMMUNICATIONS .................................... $ ______
d) PERSONAL LIVING AND TRAVEL EXPENSES ............... $ ______
e) COMPENSATION OF LOBBYISTS ......................... $ ______
f) HONORARIA ......................................... $ ______
g) OTHER ............................................. $ ______
TOTAL ................................................ $ ______
PART II:
(1a) NAME OF LOBBYIST: ______________________________________________
(1b) Permanent Business Address: ____________________________________
(1c) Business Telephone: ____________________________________________
(2) As a lobbyist, you are (check one)
[ ] EMPLOYED (on the payroll of the principal)
[ ] RETAINED (not on the payroll of the principal, however
compensated)
[ ] NOT COMPENSATED (not compensated; expenses may be reimbursed)
(3) List all lobbyists other than yourself who registered to
represent your principal.
________________________________________________________________
________________________________________________________________
________________________________________________________________
(4) If you selected "EMPLOYED" as your answer to Part II, item 2,
provide your job title.
________________________________________________________________
PLEASE NOTE: Some lobbyists are not individually compensated for
lobbying activities. This may occur when several members of a firm
represent a single principal. The principal, in turn, makes a single
payment to the firm. If this describes your situation, do not answer
Part II, items 5a and 5b. Instead, complete Part III, items 1 and 2.
(5a) What was the DOLLAR AMOUNT OF YOUR COMPENSATION as a lobbyist?
(If you have job responsibilities other than those involving
lobbying, you may have to prorate to determine the part of your
salary attributable to your lobbying activities.) Transfer your
answer to this item to Part I, item 6e.
(5b) Explain how you arrived at your answer to Part II, item 5a.
________________________________________________________________
________________________________________________________________
________________________________________________________________
PART III:
PLEASE NOTE: If you answered Part II, items 5a and 5b, you WILL NOT
complete this section.
(1) List all members of your firm, organization, association,
corporation, or other entity who furnished lobbying services to
your principal.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(2) Indicate the total amount paid to your firm, organization,
association, corporation, or other entity for services rendered.
Transfer your answer to this item to Part I, item 6e. ___________
SCHEDULE A
ENTERTAINMENT EXPENSES
PLEASE NOTE: Any single entertainment event included in the expense
totals of the principal, with a value greater than $50, should be
itemized below. Transfer any totals from this schedule to Part I,
item 6a. (Please duplicate as needed.)
Date and Location of Event:
_____________________________________________________________________
_____________________________________________________________________
Description of Event (including whether or not it meets the criteria
of a widely attended event):
_____________________________________________________________________
_____________________________________________________________________
Total Number of Persons Attending:
_____________________________________________________________________
Names of Legislative and Executive Officials or Members of Their
Immediate Families Attending: (List names only if the average value
for each person attending the event was greater than $50.)
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
Food ...................................................... $ ______
Beverages ................................................. $ ______
Transportation of Legislative and Executive Officials
or Members of Their Immediate Families .................... $ ______
Lodging of Legislative and Executive Officials or
Members of Their Immediate Families ....................... $ ______
Performers, Speakers, Etc. ................................ $ ______
Displays .................................................. $ ______
Rentals ................................................... $ ______
Service Personnel ......................................... $ ______
Miscellaneous ............................................. $ ______
TOTAL ..................................................... $ ______
SCHEDULE B
GIFTS
PLEASE NOTE: Any single gift reported in the expense totals of the
principal, with a value greater than $50, should be itemized below.
(Report meals, entertainment and travel under Schedule A.) Transfer
any totals from this schedule to Part I, item 6b. (Please duplicate
as needed.)
Name of each
legislative or
executive official
or member of his
immediate family Cost of
Date Description who is a recipient individual
of gift: of gift: of a gift: gift:
___________ __________________ ______________________ $ __________
___________ __________________ ______________________ $ __________
___________ __________________ ______________________ $ __________
___________ __________________ ______________________ $ __________
TOTAL COST TO PRINCIPAL ............................... $ __________
SCHEDULE C
OTHER EXPENSES
PLEASE NOTE: This section is provided for any lobbying-related
expenses not covered in Part I, items 6a - 6f. An example of an
expenditure to be listed on schedule C would be the rental of a
bill box during the General Assembly session. Transfer the total
from this schedule to Part I, item 6g. (Please duplicate as needed.)
DATE OF EXPENSE DESCRIPTION OF EXPENSE AMOUNT
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
__________________ ________________________________ $ __________
TOTAL "OTHER" EXPENSES _____________________________ $ __________
PART IV: STATEMENTS
The following items are mandatory and if they are not properly
completed, the entire filing will be rejected and returned to
the lobbyist:
(1) All signatures on the statement must be ORIGINAL in the format
specified in the instructions provided by the Council that
accompany this form. No stamps, or other reproductions of the
individual's signature will be accepted.
(2) An individual MAY NOT sign the disclosure statement as lobbyist
and principal officer.
STATEMENT OF LOBBYIST
I, the undersigned registered lobbyist, do state that the information
furnished on this disclosure statement and on all accompanying
attachments required to be made thereto is, to the best of my
knowledge and belief, complete and accurate.
________________________
Signature of lobbyist
________________________
Date
STATEMENT OF PRINCIPAL
I, the undersigned principal (or an authorized official thereof), do
state that the information furnished on this disclosure statement
and on all accompanying attachments required to be made thereto is,
to the best of my knowledge and belief, complete and accurate.
________________________
Signature of principal
________________________
Date
D. A person who knowingly and intentionally makes a false
statement of a material fact on the disclosure statement is guilty of a Class 5
felony.
E. The name of a legislative or executive official, or a
member of his immediate family, attending any reportable entertainment event
shall not be required to be disclosed by the principal if that legislative or
executive official reimburses the principal for, or otherwise pays for, his
attendance, or the attendance of a member of his immediate family, at the
entertainment event. Reimbursement shall be calculated using the average value
for each person attending the event.
F. Each lobbyist shall send to each legislative and
executive official who is required to be identified by name on Schedule A or B
of the Lobbyist's Disclosure Form a copy of Schedule A or B or a summary of the
information pertaining to that official. Copies or summaries shall be provided
to the official by November 21 December 15 for the preceding
six-month 12-month period complete through the last day of
October and by May 21 for the preceding six-month period complete through the
last day of April November 30.
§2.2-427. Filings; inspection.
Registration statements and lobbying reports shall be
open to public inspection and copying during the regular business hours of the
office of the Secretary of the Commonwealth. Lobbying reports shall be open
to public inspection and copying during the regular business hours of the
Council.
Such Registration statements and reports
shall be deemed to have been filed only when actually received in the office of
the Secretary or mailed to the Secretary by registered, certified, or regular
mail with the sender retaining sufficient proof of mailing, which may be a
United States Postal Certificate of Mailing. Lobbying reports shall be
deemed to have been filed only when received by the Council in accordance with
the standards approved by the Council pursuant to §30-356.
§2.2-3101. Definitions.
As used in this chapter, unless the context requires a
different meaning:
"Advisory agency" means any board, commission,
committee or post which does not exercise any sovereign power or duty, but is
appointed by a governmental agency or officer or is created by law for the
purpose of making studies or recommendations, or advising or consulting with a
governmental agency.
"Affiliated business entity relationship" means a
relationship, other than a parent-subsidiary relationship, that exists when (i)
one business entity has a controlling ownership interest in the other business
entity, (ii) a controlling owner in one entity is also a controlling owner in
the other entity, or (iii) there is shared management or control between the
business entities. Factors that may be considered in determining the existence
of an affiliated business entity relationship include that the same person or
substantially the same person owns or manages the two entities, there are
common or commingled funds or assets, the business entities share the use of
the same offices or employees, or otherwise share activities, resources or
personnel on a regular basis, or there is otherwise a close working relationship
between the entities.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Candidate" means a person who seeks or campaigns
for an office of the Commonwealth or one of its governmental units in a
general, primary, or special election and who is qualified to have his name
placed on the ballot for the office. The candidate shall become subject to the
provisions of this chapter upon the filing of a statement of qualification
pursuant to §24.2-501. The State Board of Elections or general registrar shall
notify each such candidate of the provisions of this chapter. Notification made
by the general registrar shall consist of information developed by the State
Board of Elections.
"Contract" means any agreement to which a
governmental agency is a party, or any agreement on behalf of a governmental
agency that involves the payment of money appropriated by the General Assembly
or a political subdivision, whether or not such agreement is executed in the
name of the Commonwealth, or some political subdivision thereof.
"Contract" includes a subcontract only when the contract of which it
is a part is with the officer's or employee's own governmental agency.
"Council" means the Virginia Conflict of Interest
and Ethics Advisory Council established in §30-355.
"Employee" means all persons employed by a
governmental or advisory agency, unless otherwise limited by the context of its
use.
"Financial institution" means any bank, trust
company, savings institution, industrial loan association, consumer finance
company, credit union, broker-dealer as defined in subsection A of §13.1-501,
or investment company or advisor registered under the federal Investment
Advisors Act or Investment Company Act of 1940.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, local travel,
lodgings and meals, whether provided in-kind, by purchase of a ticket, payment
in advance or reimbursement after the expense has been incurred.
"Gift" does not include (i) any offer of a ticket, coupon, or other
admission or pass unless the ticket, coupon, admission, or pass is used; (ii)
honorary degrees; (iii) any athletic, merit, or need-based scholarship or any
other financial aid awarded by a public or private school, institution of
higher education, or other educational program pursuant to such school,
institution, or program's financial aid standards and procedures applicable to
the general public; (iv) a campaign contribution properly received and reported
pursuant to Chapter 9.3 (§24.2-945 et seq.) of Title 24.2; (v) any gift
related to the private profession or occupation of an officer or employee or of
a member of his immediate family; (vi) food or beverages consumed while
attending an event at which the filer is performing official duties related to
his public service; (vii) food and beverages received at or registration or
attendance fees waived for any event at which the filer is a featured speaker,
presenter, or lecturer; (viii) unsolicited awards of appreciation or
recognition in the form of a plaque, trophy, wall memento, or similar item that
is given in recognition of public, civic, charitable, or professional service;
(ix) a devise or inheritance; (x) travel disclosed pursuant to the Campaign
Finance Disclosure Act (§24.2-945 et seq.); (xi) travel paid for or provided
by the government of the United States, any of its territories, or any state or
any political subdivision of such state; (xii) travel provided to facilitate
attendance by a legislator at a regular or special session of the General
Assembly, a meeting of a legislative committee or commission, or a national
conference where attendance is approved by the House Committee on Rules or
its Chairman or the Senate Committee on Rules or its Chairman;
(xiii) travel related to an official meeting of the Commonwealth, its political
subdivisions, or any board, commission, authority, or other entity, or any
charitable organization established pursuant to §501(c)(3) of the Internal
Revenue Code affiliated with such entity, to which such person has been
appointed or elected or is a member by virtue of his office or employment;
or (xiv) gifts with a value of less than $20; or (xv) gifts from
relatives or personal friends. For the purpose of this definition,
"relative" means the donee's spouse, child, uncle, aunt, niece,
nephew, or first cousin; a person to whom the donee is engaged to be married;
the donee's or his spouse's parent, grandparent, grandchild, brother, sister,
step-parent, step-grandparent, step-grandchild, step-brother, or step-sister; or
the donee's brother's or sister's spouse. For the purpose of this definition,
"personal friend" does not include any person that the filer knows or
has reason to know is (a) a lobbyist registered pursuant to Article 3 (§
2.2-418 et seq.) of Chapter 4 of Title 2.2; (b) a lobbyist's principal as
defined in §2.2-419; (c) for an officer or employee of a local governmental or
advisory agency, a person, organization, or business who is a party to or is
seeking to become a party to a contract with the local agency of which he is an
officer or an employee; or (d) for an officer or employee of a state
governmental or advisory agency, a person, organization, or business who is a
party to or is seeking to become a party to a contract with the Commonwealth.
For purposes of this definition, "person, organization, or business"
includes individuals who are officers, directors, or owners of or who have a
controlling ownership interest in such organization or business.
"Governmental agency" means each component part of
the legislative, executive or judicial branches of state and local government,
including each office, department, authority, post, commission, committee, and
each institution or board created by law to exercise some regulatory or
sovereign power or duty as distinguished from purely advisory powers or duties.
Corporations organized or controlled by the Virginia Retirement System are
"governmental agencies" for purposes of this chapter.
"Immediate family" means (i) a spouse and (ii) any
other person who resides in the same household as the officer or employee and
who is a dependent of the officer or employee.
"Officer" means any person appointed or elected to
any governmental or advisory agency including local school boards, whether or
not he receives compensation or other emolument of office. Unless the context
requires otherwise, "officer" includes members of the judiciary.
"Parent-subsidiary relationship" means a
relationship that exists when one corporation directly or indirectly owns
shares possessing more than 50 percent of the voting power of another
corporation.
"Personal interest" means a financial benefit or
liability accruing to an officer or employee or to a member of his immediate
family. Such interest shall exist by reason of (i) ownership in a business if
the ownership interest exceeds three percent of the total equity of the
business; (ii) annual income that exceeds, or may reasonably be anticipated to
exceed, $5,000 from ownership in real or personal property or a business; (iii)
salary, other compensation, fringe benefits, or benefits from the use of
property, or any combination thereof, paid or provided by a business or
governmental agency that exceeds, or may reasonably be anticipated to exceed,
$5,000 annually; (iv) ownership of real or personal property if the interest
exceeds $5,000 in value and excluding ownership in a business, income, or
salary, other compensation, fringe benefits or benefits from the use of
property; (v) personal liability incurred or assumed on behalf of a business if
the liability exceeds three percent of the asset value of the business; or (vi)
an option for ownership of a business or real or personal property if the
ownership interest will consist of clause (i) or (iv) above.
"Personal interest in a contract" means a personal
interest that an officer or employee has in a contract with a governmental
agency, whether due to his being a party to the contract or due to a personal
interest in a business that is a party to the contract.
"Personal interest in a transaction" means a
personal interest of an officer or employee in any matter considered by his
agency. Such personal interest exists when an officer or employee or a member
of his immediate family has a personal interest in property or a business or
governmental agency, or represents or provides services to any individual or
business and such property, business or represented or served individual or
business (i) is the subject of the transaction or (ii) may realize a reasonably
foreseeable direct or indirect benefit or detriment as a result of the action
of the agency considering the transaction. Notwithstanding the above, such
personal interest in a transaction shall not be deemed to exist where (a) an
elected member of a local governing body serves without remuneration as a
member of the board of trustees of a not-for-profit entity and such elected
member or member of his immediate family has no personal interest related to
the not-for-profit entity or (b) an officer, employee, or elected member of a
local governing body is appointed by such local governing body to serve on a
governmental agency, or an officer, employee, or elected member of a separate
local governmental agency formed by a local governing body is appointed to
serve on a governmental agency, and the personal interest in the transaction of
the governmental agency is the result of the salary, other compensation, fringe
benefits, or benefits provided by the local governing body or the separate
governmental agency to the officer, employee, elected member, or member of his
immediate family.
"State and local government officers and employees"
shall not include members of the General Assembly.
"State filer" means those officers and employees
required to file a disclosure statement of their personal interests pursuant to
subsection A or B of §2.2-3114.
"Transaction" means any matter considered by any
governmental or advisory agency, whether in a committee, subcommittee, or other
entity of that agency or before the agency itself, on which official action is
taken or contemplated.
§2.2-3106. Prohibited contracts by officers and employees of
state government and Eastern Virginia Medical School.
A. No officer or employee of any governmental agency of state
government or Eastern Virginia Medical School shall have a personal interest in
a contract with the governmental agency of which he is an officer or employee,
other than his own contract of employment.
B. No officer or employee of any governmental agency of state
government or Eastern Virginia Medical School shall have a personal interest in
a contract with any other governmental agency of state government unless such
contract is (i) awarded as a result of competitive sealed bidding or
competitive negotiation as set forth in §2.2-4302.1 or 2.2-4302.2 or (ii) is
awarded after a finding, in writing, by the administrative head of the
governmental agency that competitive bidding or negotiation is contrary to the
best interest of the public.
C. The provisions of this section shall not apply to:
1. An employee's personal interest in additional contracts of
employment with his own governmental agency that accrue to him because of a
member of his immediate family, provided the employee does not exercise any
control over the employment or the employment activities of the member of his
immediate family and the employee is not in a position to influence those
activities;
2. The personal interest of an officer or employee of a state
institution of higher education or the Eastern Virginia Medical School in
additional contracts of employment with his own governmental agency that accrue
to him because of a member of his immediate family, provided (i) the officer or
employee and the immediate family member are engaged in teaching, research or
administrative support positions at the educational institution or the Eastern
Virginia Medical School, (ii) the governing board of the educational
institution finds that it is in the best interests of the institution or the
Eastern Virginia Medical School and the Commonwealth for such dual employment to
exist, and (iii) after such finding, the governing board of the educational
institution or the Eastern Virginia Medical School ensures that the officer or
employee, or the immediate family member, does not have sole authority to
supervise, evaluate or make personnel decisions regarding the other;
3. An officer's or employee's personal interest in a contract
of employment with any other governmental agency of state government;
4. Contracts for the sale by a governmental agency or the
Eastern Virginia Medical School of services or goods at uniform prices
available to the general public;
5. An employee's personal interest in a contract between a
public institution of higher education in Virginia or the Eastern Virginia
Medical School and a publisher or wholesaler of textbooks or other educational
materials for students, which accrues to him solely because he has authored or
otherwise created such textbooks or materials;
6. An employee's personal interest in a contract with his or
her employing public institution of higher education to acquire the collections
or scholarly works owned by the employee, including manuscripts, musical
scores, poetry, paintings, books or other materials, writings, or papers of an
academic, research, or cultural value to the institution, provided the
president of the institution approves the acquisition of such collections or
scholarly works as being in the best interests of the institution's public
mission of service, research, or education;
7. Subject to approval by the board of visitors, an employee's
personal interest in a contract between the Eastern Virginia Medical School or
a public institution of higher education in Virginia that operates a school of
medicine or dentistry and a not-for-profit nonstock corporation that operates a
clinical practice within such public institution of higher education or the
Eastern Virginia Medical School and of which such employee is a member or
employee;
8. Subject to approval by the relevant board of visitors, an
employee's personal interest in a contract for research and development or
commercialization of intellectual property between a public institution of
higher education in Virginia or the Eastern Virginia Medical School and a
business in which the employee has a personal interest, if (i) the employee's
personal interest has been disclosed to and approved by such public institution
of higher education or the Eastern Virginia Medical School prior to the time at
which the contract is entered into; (ii) the employee promptly files a
disclosure statement pursuant to §2.2-3117 and thereafter files such statement
annually on or before December January 15; (iii) the institution
has established a formal policy regarding such contracts, approved by the State
Council of Higher Education or, in the case of the Eastern Virginia Medical
School, a formal policy regarding such contracts in conformity with any
applicable federal regulations that has been approved by its board of visitors;
and (iv) no later than December 31 of each year, the institution or the Eastern
Virginia Medical School files an annual report with the Secretary of the
Commonwealth disclosing each open contract entered into subject to this
provision, the names of the parties to each contract, the date each contract
was executed and its term, the subject of each contractual arrangement, the
nature of the conflict of interest, the institution's or the Eastern Virginia
Medical School's employee responsible for administering each contract, the
details of the institution's or the Eastern Virginia Medical School's
commitment or investment of resources or finances for each contract, and any
other information requested by the Secretary of the Commonwealth; or
9. Subject to approval by the relevant board of visitors, an
employee's personal interest in a contract between a public institution of
higher education in Virginia or the Eastern Virginia Medical School and a
business in which the employee has a personal interest, if (i) the personal
interest has been disclosed to the institution or the Eastern Virginia Medical
School prior to the time the contract is entered into; (ii) the employee files
a disclosure statement pursuant to §2.2-3117 and thereafter annually on or
before December January 15; (iii) the employee does not participate
in the institution's or the Eastern Virginia Medical School's decision to
contract; (iv) the president of the institution or the Eastern Virginia Medical
School finds and certifies in writing that the contract is for goods and
services needed for quality patient care, including related medical education
or research, by the institution's medical center or the Eastern Virginia
Medical School, its affiliated teaching hospitals and other organizations
necessary for the fulfillment of its mission, including the acquisition of
drugs, therapies and medical technologies; and (v) no later than December 31 of
each year, the institution or the Eastern Virginia Medical School files an
annual report with the Secretary of the Commonwealth disclosing each open
contract entered subject to this provision, the names of the parties to each
contract, the date each contract was executed and its term, the subject of each
contractual arrangement, the nature of the conflict of interest, the
institution's or the Eastern Virginia Medical School's employee responsible for
administering each contract, the details of the institution's or the Eastern
Virginia Medical School's commitment or investment of resources or finances for
each contract, and any other information requested by the Secretary of the
Commonwealth.
D. Notwithstanding the provisions of subdivisions C 8 and C 9,
if the research and development or commercialization of intellectual property
or the employee's personal interest in a contract with a business is subject to
policies and regulations governing conflicts of interest promulgated by any
agency of the United States government, including the adoption of policies
requiring the disclosure and management of such conflicts of interests, the
policies established by the Eastern Virginia Medical School pursuant to such
federal requirements shall constitute compliance with subdivisions C 8 and C 9,
upon notification by the Eastern Virginia Medical School to the Secretary of
the Commonwealth by January 31 of each year of evidence of their compliance
with such federal policies and regulations.
E. The board of visitors may delegate the authority granted
under subdivision C 8 to the president of the institution. If the board elects
to delegate such authority, the board shall include this delegation of
authority in the formal policy required by clause (iii) of subdivision C 8. In
those instances where the board has delegated such authority, on or before
December 1 of each year, the president of the relevant institution shall file a
report with the relevant board of visitors disclosing each open contract
entered into subject to this provision, the names of the parties to each
contract, the date each contract was executed and its term, the subject of each
contractual arrangement, the nature of the conflict of interest, the
institution's or the Eastern Virginia Medical School's employee responsible for
administering each contract, the details of the institution's or the Eastern
Virginia Medical School's commitment or investment of resources or finances for
each contract, the details of how revenues are to be dispersed, and any other
information requested by the board of visitors.
§2.2-3109.1. Prohibited contracts; additional exclusions for
contracts by officers and employees of hospital authorities.
A. As used in this section, "hospital authority"
means a hospital authority established pursuant to Chapter 53 (§15.2-5300 et
seq.) of Title 15.2 or an Act of Assembly.
B. The provisions of §2.2-3109 shall not apply to:
1. The personal interest of an officer or employee of a
hospital authority in additional contracts of employment with his own
governmental agency that accrue to him because of a member of his immediate
family, provided (i) the officer or employee and the immediate family member are
licensed members of the medical profession or hold administrative support
positions at the hospital authority, (ii) the governing board of the hospital
authority finds that it is in the best interests of the hospital authority and
the county, city, or town for such dual employment to exist, and (iii) after
such finding, the governing board of the hospital authority ensures that
neither the officer or employee, nor the immediate family member, has sole
authority to supervise, evaluate, or make personnel decisions regarding the
other;
2. Subject to approval by the governing board of the hospital
authority, an officer or employee's personal interest in a contract between his
hospital authority and a professional entity that operates a clinical practice
at any medical facilities of such other hospital authority and of which such
officer or employee is a member or employee;
3. Subject to approval by the relevant governing body, an
officer or employee's personal interest in a contract for research and
development or commercialization of intellectual property between the hospital
authority and a business in which the employee has a personal interest,
provided (i) the officer or employee's personal interest has been disclosed to
and approved by the hospital authority prior to the time at which the contract
is entered into; (ii) the officer or employee promptly files a disclosure
statement pursuant to §2.2-3117 and thereafter files such statement annually
on or before December January 15; (iii) the local hospital authority
has established a formal policy regarding such contracts in conformity with any
applicable federal regulations that has been approved by its governing body;
and (iv) no later than December 31 of each year, the local hospital authority
files an annual report with the Virginia Conflict of Interest and Ethics
Advisory Council disclosing each open contract entered into subject to this
provision, the names of the parties to each contract, the date each contract
was executed and its term, the subject of each contractual arrangement, the
nature of the conflict of interest, the hospital authority's employee
responsible for administering each contract, the details of such hospital
authority's commitment or investment of resources or finances for each contract,
and any other information requested by the Virginia Conflict of Interest and
Ethics Advisory Council; or
4. Subject to approval by the relevant governing body, an
officer or employee's personal interest in a contract between the hospital
authority and a business in which the officer or employee has a personal
interest, provided (i) the personal interest has been disclosed to the hospital
authority prior to the time the contract is entered into; (ii) the officer or
employee files a disclosure statement pursuant to §2.2-3117 and thereafter
annually on or before December January 15; (iii) the officer or
employee does not participate in the hospital authority's decision to contract;
(iv) the president or chief executive officer of the hospital authority finds
and certifies in writing that the contract is for goods and services needed for
quality patient care, including related medical education or research, by any
of the hospital authority's medical facilities or any of its affiliated
organizations, or is otherwise necessary for the fulfillment of its mission,
including but not limited to the acquisition of drugs, therapies, and medical
technologies; and (v) no later than December 31 of each year, the hospital
authority files an annual report with the Virginia Conflict of Interest and
Ethics Advisory Council disclosing each open contract entered into subject to
this provision, the names of the parties to each contract, the date each
contract was executed and its term, the subject of each contractual arrangement,
the nature of the conflict of interest, the hospital authority's employee
responsible for administering each contract, the details of the hospital
authority's commitment or investment of resources or finances for each
contract, and any other information requested by the Virginia Conflict of
Interest and Ethics Advisory Council.
C. Notwithstanding the provisions of subdivisions B 3 and B 4,
if the research and development or commercialization of intellectual property
or the officer or employee's personal interest in a contract with a business is
subject to policies and regulations governing conflicts of interest promulgated
by any agency of the United States government, including the adoption of
policies requiring the disclosure and management of such conflicts of interest,
the policies established by the hospital authority pursuant to such federal
requirements shall constitute compliance with subdivisions B 3 and B 4, upon
notification by the hospital authority to the Virginia Conflict of Interest and
Ethics Advisory Council by January 31 of each year of evidence of its
compliance with such federal policies and regulations.
D. The governing body may delegate the authority granted under
subdivision B 2 to the president or chief executive officer of hospital authority.
If the board elects to delegate such authority, the board shall include this
delegation of authority in the formal policy required by clause (iii) of
subdivision B 3. In those instances where the board has delegated such
authority, on or before December 1 of each year, the president or chief
executive officer of the hospital authority shall file a report with the
relevant governing body disclosing each open contract entered into subject to
this provision, the names of the parties to each contract, the date each
contract was executed and its term, the subject of each contractual
arrangement, the nature of the conflict of interest, the hospital authority's
employee responsible for administering each contract, the details of the
hospital authority's commitment or investment of resources or finances for each
contract, the details of how revenues are to be dispersed, and any other
information requested by the governing body.
§2.2-3114. Disclosure by state officers and employees.
A. The Governor, Lieutenant Governor, Attorney General,
Justices of the Supreme Court, judges of the Court of Appeals, judges of any
circuit court, judges and substitute judges of any district court, members of
the State Corporation Commission, members of the Virginia Workers' Compensation
Commission, members of the Commonwealth Transportation Board, members of the
Board of Trustees of the Virginia Retirement System, members of the Virginia
Alcoholic Beverage Control Board, and members of the Virginia Lottery Board and
other persons occupying such offices or positions of trust or employment in
state government, including members of the governing bodies of authorities, as
may be designated by the Governor, or officers or employees of the legislative
branch, as may be designated by the Joint Rules Committee of the General
Assembly, shall file with the Council, as a condition to assuming office or
employment, a disclosure statement of their personal interests and such other
information as is specified required on the form set forth in
prescribed by the Council pursuant to §2.2-3117 and thereafter shall file
such a statement semiannually by December annually on or before
January 15 for the preceding six-month period complete through the last
day of October and by June 15 for the preceding six-month period complete
through the last day of April. When the filing deadline falls on a
Saturday, Sunday, or legal holiday, the disclosure statement shall be filed on
the next day that is not a Saturday, Sunday, or legal holiday.
B. Nonsalaried citizen members of all policy and supervisory
boards, commissions and councils in the executive branch of state government,
other than the Commonwealth Transportation Board, members of the Board of
Trustees of the Virginia Retirement System, and the Virginia Lottery Board,
shall file with the Council, as a condition to assuming office, a disclosure
form of their personal interests and such other information as is specified
required on the form set forth in prescribed by the Council
pursuant to §2.2-3118 and thereafter shall file such form annually on or
before December January 15. When the filing deadline falls on a
Saturday, Sunday, or legal holiday, the disclosure statement shall be filed on
the next day that is not a Saturday, Sunday, or legal holiday. Nonsalaried
citizen members of other boards, commissions and councils, including advisory
boards and authorities, may be required to file a disclosure form if so
designated by the Governor, in which case the form shall be that set forth
in prescribed by the Council pursuant to §2.2-3118.
C. (Effective January 1, 2016, until July 1, 2016) The
disclosure forms required by subsections A and B shall be made available by the
Council at least 30 days prior to the filing deadline. Disclosure forms shall
be filed and maintained as public records for five years in the office of the
Council. Such forms shall be made public no later than six weeks after filing.
C. (Effective July 1, 2016) The disclosure forms required by
subsections A and B shall be made available by the Council at least 30 days
prior to the filing deadline. Disclosure forms shall be filed electronically
with the Council in accordance with the standards approved by it pursuant to §
30-356. All forms shall be maintained as public records for five years in the
office of the Council. Such forms shall be made public no later than six weeks
after filing.
D. Candidates for the offices of Governor, Lieutenant Governor
or Attorney General shall file a disclosure statement of their personal
interests as required by §24.2-502.
E. Any officer or employee of state government who has a
personal interest in any transaction before the governmental or advisory agency
of which he is an officer or employee and who is disqualified from
participating in that transaction pursuant to subdivision A 1 of §2.2-3112, or
otherwise elects to disqualify himself, shall forthwith make disclosure of the
existence of his interest, including the full name and address of the business
and the address or parcel number for the real estate if the interest involves a
business or real estate, and his disclosure shall also be reflected in the
public records of the agency for five years in the office of the administrative
head of the officer's or employee's governmental agency or advisory agency or, if
the agency has a clerk, in the clerk's office.
F. An officer or employee of state government who is required
to declare his interest pursuant to subdivision A 2 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) the nature
of the officer's or employee's personal interest affected by the transaction,
(iii) that he is a member of a business, profession, occupation, or group the
members of which are affected by the transaction, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day.
G. An officer or employee of state government who is required
to declare his interest pursuant to subdivision A 3 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) that a party
to the transaction is a client of his firm, (iii) that he does not personally
represent or provide services to the client, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of recording
or receipt. If reasonable time is not available to comply with the provisions
of this subsection prior to participation in the transaction, the officer or
employee shall prepare and file the required declaration by the end of the next
business day.
H. Notwithstanding any other provision of law, chairs of
departments at a public institution of higher education in the Commonwealth
shall not be required to file the disclosure form prescribed by the Council
pursuant to §2.2-3117 or 2.2-3118.
§2.2-3114.2. Report of gifts by certain officers and
employees of state government.
The Governor, Lieutenant Governor, Attorney General, and
each member of the Governor's Cabinet shall file, on or before May 1, a report
of gifts accepted or received by him or a member of his immediate family during
the period beginning on January 1 complete through adjournment sine die of the
regular session of the General Assembly. The gift report shall be on a form
prescribed by the Council and shall be filed electronically with the Council in
accordance with the standards approved by it pursuant to §30-356. For purposes
of this section, "adjournment sine die" means adjournment on the last
legislative day of the regular session and does not include the ensuing
reconvened session. Any gifts reported pursuant to this section shall not be
listed on the annual disclosure form prescribed by the Council pursuant to §
2.2-3117.
§2.2-3115. Disclosure by local government officers and
employees.
A. The members of every governing body and school board of
each county and city and of towns with populations in excess of 3,500 shall
file, as a condition to assuming office or employment, a disclosure statement
of their personal interests and other information as is specified
required on the form set forth in prescribed by the Council
pursuant to §2.2-3117 and thereafter shall file such a statement
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
The members of the governing body of any authority established
in any county or city, or part or combination thereof, and having the power to
issue bonds or expend funds in excess of $10,000 in any fiscal year, shall
file, as a condition to assuming office, a disclosure statement of their
personal interests and other information as is specified required
on the form set forth in prescribed by the Council pursuant to §
2.2-3118 and thereafter shall file such a statement annually on or before
December January 15, unless the governing body of the jurisdiction
that appoints the members requires that the members file the form set forth in
§2.2-3117 semiannually by December 15 for the preceding six-month period
complete through the last day of October and by June 15 for the preceding
six-month period complete through the last day of April.
Persons occupying such positions of trust appointed by
governing bodies and persons occupying such positions of employment with
governing bodies as may be designated to file by ordinance of the governing
body shall file, as a condition to assuming office or employment, a disclosure
statement of their personal interests and other information as is specified
required on the form set forth in prescribed by the Council
pursuant to §2.2-3117 and thereafter shall file such a statement
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
Persons occupying such positions of trust appointed by school
boards and persons occupying such positions of employment with school boards as
may be designated to file by an adopted policy of the school board shall file,
as a condition to assuming office or employment, a disclosure statement of
their personal interests and other information as is specified
required on the form set forth in prescribed by the Council
pursuant to §2.2-3117 and thereafter shall file such a statement
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
B. Nonsalaried citizen members of local boards, commissions
and councils as may be designated by the governing body shall file, as a
condition to assuming office, a disclosure form of their personal interests and
such other information as is specified required on the form
set forth in prescribed by the Council pursuant to §2.2-3118 and
thereafter shall file such form annually on or before December
January 15.
C. No person shall be mandated to file any disclosure not
otherwise required by this article.
D. The disclosure forms required by subsections A and B shall
be made available by the Virginia Conflict of Interest and Ethics Advisory
Council at least 30 days prior to the filing deadline, and the clerks of the
governing body and school board shall distribute the forms to designated
individuals at least 20 days prior to the filing deadline. Forms shall be filed
and maintained as public records for five years in the office of the clerk of
the respective governing body or school board. Forms filed by members of
governing bodies of authorities shall be filed and maintained as public records
for five years in the office of the clerk of the governing body of the county
or city. Such forms shall be made public no later than six weeks after filing.
E. Candidates for membership in the governing body or school
board of any county, city or town with a population of more than 3,500 persons
shall file a disclosure statement of their personal interests as required by §
24.2-502.
F. Any officer or employee of local government who has a
personal interest in any transaction before the governmental or advisory agency
of which he is an officer or employee and who is disqualified from
participating in that transaction pursuant to subdivision A 1 of §2.2-3112 or
otherwise elects to disqualify himself, shall forthwith make disclosure of the
existence of his interest, including the full name and address of the business and
the address or parcel number for the real estate if the interest involves a
business or real estate, and his disclosure shall be reflected in the public
records of the agency for five years in the office of the administrative head
of the officer's or employee's governmental or advisory agency.
G. In addition to any disclosure required by subsections A and
B, in each county and city and in towns with populations in excess of 3,500,
members of planning commissions, boards of zoning appeals, real estate assessors,
and all county, city and town managers or executive officers shall make annual
disclosures of all their interests in real estate located in the county, city
or town in which they are elected, appointed, or employed. Such disclosure
shall include any business in which such persons own an interest, or from which
income is received, if the primary purpose of the business is to own, develop
or derive compensation through the sale, exchange or development of real estate
in the county, city or town. Such disclosure shall be filed as a condition to
assuming office or employment, and thereafter shall be filed annually with the
clerk of the governing body of such county, city, or town on or before
December January 15. Such disclosures shall be filed and maintained
as public records for five years. Such forms shall be made public no later than
six weeks after filing. Forms for the filing of such reports shall be made
available by the Virginia Conflict of Interest and Ethics Advisory Council to
the clerk of each governing body.
H. An officer or employee of local government who is required
to declare his interest pursuant to subdivision A 2 of §2.2-3112 shall declare
his interest by stating (i) the transaction involved, (ii) the nature of the
officer's or employee's personal interest affected by the transaction, (iii)
that he is a member of a business, profession, occupation, or group the members
of which are affected by the transaction, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day. The officer or employee shall also orally disclose
the existence of the interest during each meeting of the governmental or
advisory agency at which the transaction is discussed and such disclosure shall
be recorded in the minutes of the meeting.
I. An officer or employee of local government who is required
to declare his interest pursuant to subdivision A 3 of §2.2-3112, shall
declare his interest by stating (i) the transaction involved, (ii) that a party
to the transaction is a client of his firm, (iii) that he does not personally
represent or provide services to the client, and (iv) that he is able to
participate in the transaction fairly, objectively, and in the public interest.
The officer or employee shall either make his declaration orally to be recorded
in written minutes for his agency or file a signed written declaration with the
clerk or administrative head of his governmental or advisory agency, as
appropriate, who shall, in either case, retain and make available for public
inspection such declaration for a period of five years from the date of
recording or receipt. If reasonable time is not available to comply with the
provisions of this subsection prior to participation in the transaction, the
officer or employee shall prepare and file the required declaration by the end
of the next business day.
§2.2-3116. (Effective from January 1, 2016, until July 1,
2016) Disclosure by certain constitutional officers.
For the purposes of this chapter, holders of the
constitutional offices of treasurer, sheriff, attorney for the Commonwealth,
clerk of the circuit court, and commissioner of the revenue of each county and
city shall be required to file with the Council, as a condition to assuming
office, the Statement of Economic Interests set forth in prescribed
by the Council pursuant to §2.2-3117. These officers shall file statements
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
Candidates shall file statements as required by §24.2-502. These officers
shall be subject to the prohibition on certain gifts set forth in subsection B
of §2.2-3103.1.
§2.2-3116. (Effective July 1, 2016) Disclosure by certain
constitutional officers.
For the purposes of this chapter, holders of the constitutional
offices of treasurer, sheriff, attorney for the Commonwealth, clerk of the
circuit court, and commissioner of the revenue of each county and city shall be
required to file with the Council, as a condition to assuming office, the
Statement of Economic Interests set forth in prescribed by the
Council pursuant to §2.2-3117. These officers shall file statements
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
Candidates shall file statements as required by §24.2-502. Statements shall be
filed electronically with the Council in accordance with the standards approved
by it pursuant to §30-356. These officers shall be subject to the prohibition
on certain gifts set forth in subsection B of §2.2-3103.1.
§2.2-3117. Disclosure form.
(Effective from January 1, 2016, until July 1, 2016) The
disclosure form to be used for filings required by subsections A and D of §
2.2-3114 and subsections A and E of §2.2-3115 shall be substantially
similar to the following prescribed by the Council. Any person who
knowingly and intentionally makes a false statement of a material fact on the
Statement of Economic Interests is guilty of a Class 5 felony.
(Effective July 1, 2016) The disclosure form to be used for
filings required by subsections A and D of §2.2-3114 and subsections A and E
of §2.2-3115 shall be substantially similar to the following prescribed
by the Council. Except as otherwise provided in §2.2-3115, all completed
forms shall be filed electronically with the Council in accordance with the
standards approved by it pursuant to §30-356. Any person who knowingly and
intentionally makes a false statement of a material fact on the Statement of
Economic Interests is guilty of a Class 5 felony.
STATEMENT OF ECONOMIC INTERESTS.
Name__________________________________________________________
Office or position held or sought_____________________________________
Address________________________________________________________
Names of members of immediate
family________________________________
DEFINITIONS AND EXPLANATORY MATERIAL.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Close financial association" means an
association in which the person filing shares significant financial involvement
with an individual and the filer would reasonably be expected to be aware of
the individual's business activities and would have access to the necessary
records either directly or through the individual. "Close financial association"
does not mean an association based on (i) the receipt of retirement benefits or
deferred compensation from a business by which the person filing this statement
is no longer employed, or (ii) the receipt of compensation for work performed
by the person filing as an independent contractor of a business that represents
an entity before any state governmental agency when the person filing has had
no communications with the state governmental agency.
"Contingent liability" means a liability that is
not presently fixed or determined, but may become fixed or determined in the
future with the occurrence of some certain event.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, lodgings and
meals, whether provided in-kind, by purchase of a ticket, payment in advance or
reimbursement after the expense has been incurred. "Gift" does not
include (i) any offer of a ticket, coupon, or other admission or pass unless
the ticket, coupon, admission, or pass is used; (ii) honorary degrees; (iii)
any athletic, merit, or need-based scholarship or any other financial aid
awarded by a public or private school, institution of higher education, or other
educational program pursuant to such school, institution, or program's
financial aid standards and procedures applicable to the general public; (iv) a
campaign contribution properly received and reported pursuant to Chapter 9.3 (§
24.2-945 et seq.) of Title 24.2; (v) any gift related to the private profession
or occupation of an officer or employee or of a member of his immediate family;
(vi) food or beverages consumed while attending an event at which the filer is
performing official duties related to his public service; (vii) food and
beverages received at or registration or attendance fees waived for any event
at which the filer is a featured speaker, presenter, or lecturer; (viii)
unsolicited awards of appreciation or recognition in the form of a plaque,
trophy, wall memento, or similar item that is given in recognition of public,
civic, charitable, or professional service; (ix) a devise or inheritance; (x)
travel disclosed pursuant to the Campaign Finance Disclosure Act (§24.2-945 et
seq.); (xi) travel paid for or provided by the government of the United States,
any of its territories, or any state or any political subdivision of such
state; (xii) travel provided to facilitate attendance by a legislator at a
regular or special session of the General Assembly, a meeting of a legislative
committee or commission, or a national conference where attendance is approved
by the House or Senate Committee on Rules; (xiii) travel related to an official
meeting of the Commonwealth, its political subdivisions, or any board,
commission, authority, or other entity, or any charitable organization
established pursuant to §501(c)(3) of the Internal Revenue Code affiliated
with such entity, to which such person has been appointed or elected or is a
member by virtue of his office or employment; or (xiv) gifts from relatives or
personal friends. "Relative" means the donee's spouse, child, uncle,
aunt, niece, nephew, or first cousin; a person to whom the donee is engaged to
be married; the donee's or his spouse's parent, grandparent, grandchild,
brother, sister, step-parent, step-grandparent, step-grandchild, step-brother,
or step-sister; or the donee's brother's or sister's spouse. "Personal
friend" does not include any person that the filer knows or has reason to
know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of
Chapter 4 of Title 2.2; (b) a lobbyist's principal as defined in §2.2-419; (c)
for an officer or employee of a local governmental or advisory agency, a
person, organization, or business who is a party to or is seeking to become a
party to a contract with the local agency of which he is an officer or an
employee; or (d) for an officer or employee of a state governmental or advisory
agency, a person, organization, or business who is a party to or is seeking to
become a party to a contract with the Commonwealth. "Person, organization,
or business" includes individuals who are officers, directors, or owners
of or who have a controlling ownership interest in such organization or business.
"Immediate family" means (i) a spouse and (ii)
any other person who resides in the same household as the officer or employee
and who is a dependent of the officer or employee.
TRUST. If you or your immediate family, separately or
together, are the only beneficiaries of a trust, treat the trust's assets as if
you own them directly. If you or your immediate family has a proportional
interest in a trust, treat that proportion of the trust's assets as if you own
them directly. For example, if you and your immediate family have a one-third
interest in a trust, complete your Statement as if you own one-third of each of
the trust's assets. If you or a member of your immediate family created a trust
and can revoke it without the beneficiaries' consent, treat its assets as if
you own them directly.
REPORT TO THE BEST OF INFORMATION AND BELIEF. Information
required on this Statement must be provided on the basis of the best knowledge,
information, and belief of the individual filing the Statement as of the date
of this report unless otherwise stated.
COMPLETE ITEMS 1 THROUGH 10. REFER TO SCHEDULES ONLY IF
DIRECTED.
You may attach additional explanatory information.
1. Offices and Directorships.
Are you or a member of your immediate family a paid officer
or paid director of a business?
EITHER check NO / / OR check YES / / and complete Schedule
A.
2. Personal Liabilities.
Do you or a member of your immediate family owe more than
$5,000 to any one creditor including contingent liabilities? (Exclude debts to
any government and loans secured by recorded liens on property at least equal
in value to the loan.)
EITHER check NO / / OR check YES / / and complete Schedule
B.
3. Securities.
Do you or a member of your immediate family, directly or
indirectly, separately or together, own securities valued in excess of $5,000
invested in one business? Account for mutual funds, limited partnerships and
trusts.
EITHER check NO / / OR check YES / / and complete Schedule
C.
4. Payments for Talks, Meetings, and Publications.
During the past six months did you receive in your capacity
as an officer or employee of your agency lodging, transportation, money, or
anything else of value with a combined value exceeding $100 (i) for a single
talk, meeting, or published work or (ii) for a meeting, conference, or event
where your attendance at the meeting, conference, or event was designed to (a)
educate you on issues relevant to your duties as an officer or employee of your
agency or (b) enhance your knowledge and skills relative to your duties as an
officer or employee of your agency?
EITHER check NO / / OR check YES / / and complete Schedule
D.
5. Gifts.
During the past six months did a business, government, or
individual other than a relative or personal friend (i) furnish you or a member
of your immediate family with any gift or entertainment at a single event and
the value received exceeded $50 or (ii) furnish you or a member of your
immediate family with gifts or entertainment in any combination and the total
value received exceeded $50, and for which you or the member of your immediate
family neither paid nor rendered services in exchange? Account for
entertainment events only if the average value per person attending the event
exceeded $50. Account for all business entertainment (except if related to the
private profession or occupation of you or the member of your immediate family
who received such business entertainment) even if unrelated to your official
duties.
EITHER check NO / / OR check YES / / and complete Schedule
E.
6. Salary and Wages.
List each employer that pays you or a member of your
immediate family salary or wages in excess of $5,000 annually. (Exclude state
or local government or advisory agencies.)
If no reportable salary or wages, check here / /.
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
7. Business Interests.
Do you or a member of your immediate family, separately or
together, operate your own business, or own or control an interest in excess of
$5,000 in a business?
EITHER check NO / / OR check YES / / and complete Schedule
F.
8. Payments for Representation and Other Services.
8A. Did you represent, excluding activity defined as
lobbying in §2.2-419, any businesses before any state governmental agencies,
excluding courts or judges, for which you received total compensation during
the past six months in excess of $1,000, excluding compensation for other
services to such businesses and representation consisting solely of the filing
of mandatory papers and subsequent representation regarding the mandatory papers?
(Officers and employees of local governmental and advisory agencies do NOT need
to answer this question or complete Schedule G-1.)
EITHER check NO / / OR check YES / / and complete Schedule
G-1.
8B. Subject to the same exceptions as in 8A, did persons with
whom you have a close financial association (partners, associates or others)
represent, excluding activity defined as lobbying in §2.2-419, any businesses
before any state governmental agency for which total compensation was received
during the past six months in excess of $1,000? (Officers and employees of
local governmental and advisory agencies do NOT need to answer this question or
complete Schedule G-2.)
EITHER check NO / / OR check YES / / and complete Schedule
G-2.
8C. Did you or persons with whom you have a close financial
association furnish services to businesses operating in Virginia pursuant to an
agreement between you and such businesses, or between persons with whom you
have a close financial association and such businesses for which total
compensation in excess of $1,000 was received during the past six months?
Services reported under this provision shall not include services involving the
representation of businesses that are reported under item 8A or 8B.
EITHER check NO / / OR check YES / / and complete Schedule
G-3.
9. Real Estate.
9A. State Officers and Employees.
Do you or a member of your immediate family hold an
interest, including a partnership interest, valued at more than $5,000 in real
property (other than your principal residence) for which you have not already
listed the full address on Schedule F? Account for real estate held in trust.
EITHER check NO / / OR check YES / / and complete Schedule
H-1.
9B. Local Officers and Employees.
Do you or a member of your immediate family hold an
interest, including a partnership interest, or option, easement, or land
contract, valued at more than $5,000 in real property (other than your
principal residence) for which you have not already listed the full address on
Schedule F? Account for real estate held in trust.
EITHER check NO / / OR check YES / / and complete Schedule
H-2.
10. Real Estate Contracts with Governmental Agencies.
Do you or a member of your immediate family hold an
interest valued at more than $5,000 in real estate, including a corporate,
partnership, or trust interest, option, easement, or land contract, which real
estate is the subject of a contract, whether pending or completed within the
past six months, with a governmental agency? If the real estate contract provides
for the leasing of the property to a governmental agency, do you or a member of
your immediate family hold an interest in the real estate valued at more than
$1,000? Account for all such contracts whether or not your interest is reported
in Schedule F, H-1, or H-2. This requirement to disclose an interest in a lease
does not apply to an interest derived through an ownership interest in a
business unless the ownership interest exceeds three percent of the total
equity of the business.
EITHER check NO / / OR check YES / / and complete Schedule
I.
Statements of Economic Interests are open for public
inspection.
AFFIRMATION BY ALL FILERS.
I swear or affirm that the foregoing information is full,
true and correct to the best of my knowledge.
Signature________________________________
(Return only if needed to complete Statement.)
SCHEDULES to STATEMENT OF ECONOMIC INTERESTS.
NAME__________________________________
SCHEDULE A -- OFFICES AND DIRECTORSHIPS.
Identify each business of which you or a member of your immediate
family is a paid officer or paid director.
_______________________________________________________________________
Name of Business Address of Business Position Held and by Whom
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
_______________________________________________________________________
RETURN TO ITEM 2
SCHEDULE B -- PERSONAL LIABILITIES.
Report personal liability by checking each category. Report
only debts in excess of $5,000. Do not report debts to any government. Do not
report loans secured by recorded liens on property at least equal in value to
the loan.
Report contingent liabilities below and indicate which
debts are contingent.
1. My personal debts are as follows:
_______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_______________________________________________________________________
2. The personal debts of the members of my immediate family
are as follows:
_______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
_________________________________________ __________ _________
_________________________________________ __________ _________
_______________________________________________________________________
RETURN TO ITEM 3
SCHEDULE C -- SECURITIES.
"Securities" INCLUDES stocks, bonds, mutual
funds, limited partnerships, and commodity futures contracts.
"Securities" EXCLUDES certificates of deposit,
money market funds, annuity contracts, and insurance policies.
Identify each business or Virginia governmental entity in
which you or a member of your immediate family, directly or indirectly,
separately or together, own securities valued in excess of $5,000. Name each
issuer and type of security individually.
Do not list U.S. Bonds or other government securities not
issued by the Commonwealth of Virginia or its authorities, agencies, or local
governments. Do not list organizations that do not do business in this
Commonwealth, but most major businesses conduct business in Virginia. Account
for securities held in trust.
If no reportable securities, check here / /.
____________________________________________________________________________
Check one
Type of Security $5,001 $50,001 More
(stocks, bonds, mutual to to than
Name of Issuer funds, etc.) $50,000 $250,000 $250,000
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
________________________ _______________________ _______ _______ ________
____________________________________________________________________________
RETURN TO ITEM 4
SCHEDULE D -- PAYMENTS FOR TALKS, MEETINGS, AND
PUBLICATIONS.
List each source from which you received during the past
six months in your capacity as an officer or employee of your agency lodging,
transportation, money, or any other thing of value with combined value
exceeding $100 (i) for your presentation of a single talk, participation in one
meeting, or publication of a work or (ii) for your attendance at a meeting,
conference, or event where your attendance at the meeting, conference, or event
was designed to (a) educate you on issues relevant to your duties as an officer
or employee of your agency or (b) enhance your knowledge and skills relative to
your duties as an officer or employee of your agency. Any lodging,
transportation, money, or other thing of value received by an officer or
employee that does not satisfy the provisions of clause (i), (ii) (a), or (ii)
(b) shall be listed as a gift on Schedule E.
List payments or reimbursements by an advisory or
governmental agency only for meetings or travel outside the Commonwealth.
List a payment even if you donated it to charity.
Do not list information about a payment if you returned it
within 60 days or if you received it from an employer already listed under Item
6 or from a source of income listed on Schedule F.
If no payment must be listed, check here / /.
________________________________________________________________________
Type of payment
(e.g., honoraria,
travel reimburse-
Payer Approximate Value Circumstances ment, etc.)
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________________________________________________________________
RETURN TO ITEM 5
SCHEDULE E -- GIFTS.
List each business, governmental entity, or individual
that, during the past six months, (i) furnished you or a member of your
immediate family with any gift or entertainment at a single event, and the
value received exceeded $50 or (ii) furnished you or a member of your immediate
family with gifts or entertainment in any combination and the total value
received exceeded $50, and for which you or the member of your immediate family
neither paid nor rendered services in exchange. List each such gift or event.
Do not list entertainment events unless the average value per person attending
the event exceeded $50. Do not list business entertainment related to the
private profession or occupation of you or the member of your immediate family
who received such business entertainment. Do not list gifts or other things of
value given by a relative or personal friend for reasons clearly unrelated to
your public position. Do not list campaign contributions publicly reported as
required by Chapter 9.3 (§24.2-945 et seq.) of Title 24.2 of the Code of
Virginia.
_________________________________________________________________________
Name of Business, City or Exact
Name of Organization, or County Gift or Approximate
Recipient Individual and State Event Value
___________ __________________ __________ ___________ ___________
___________ __________________ __________ ___________ ___________
___________ __________________ __________ ___________ ___________
___________ __________________ __________ ___________ ___________
________________________________________________ ________________________
RETURN TO ITEM 6
SCHEDULE F -- BUSINESS INTERESTS.
Complete this Schedule for each self-owned or family-owned
business (including rental property, a farm, or consulting work), partnership,
or corporation in which you or a member of your immediate family, separately or
together, own an interest having a value in excess of $5,000.
If the enterprise is owned or operated under a trade,
partnership, or corporate name, list that name; otherwise, merely explain the
nature of the enterprise. If rental property is owned or operated under a
trade, partnership, or corporate name, list the name only; otherwise, give the
address of each property. Account for business interests held in trust.
___________________________________________________________________________
Name of Business, Gross Income
Corporation,
Partnership, City or Nature of Enterprise $50,001 More
Farm; Address of County (farming, law, rental $50,000 to than
Rental Property and State property, etc.) or less $250,000 $250,000
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
________________ _________ _____________________ ________ ________ ________
___________________________________________________________________________
RETURN TO ITEM 8
SCHEDULE G-1 -- PAYMENTS FOR REPRESENTATION BY YOU.
List the businesses you represented, excluding activity
defined as lobbying in §2.2-419, before any state governmental agency,
excluding any court or judge, for which you received total compensation during
the past six months in excess of $1,000, excluding compensation for other
services to such businesses and representation consisting solely of the filing
of mandatory papers and subsequent representation regarding the mandatory
papers filed by you.
Identify each business, the nature of the representation
and the amount received by dollar category from each such business. You may
state the type, rather than name, of the business if you are required by law
not to reveal the name of the business represented by you.
Only STATE officers and employees should complete this
Schedule.
_____________________________________________________________________
Pur- Amount Received
pose
Name Type of Name
of of Repre- of $1,001 $10,001 $50,001 $100,001 $250,001
Busi- Busi- senta- Agen- to to to to and
ness ness tion cy $10,000 $50,000 $100,000 $250,000 over
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____ _____ ______ ______ _______ _______ ________ _________ ________
_____________________________________________________________________
If you have received $250,001 or more from a single
business within the reporting period, indicate the amount received, rounded to
the nearest $10,000.
Amount Received: _______________________.
SCHEDULE G-2 -- PAYMENTS FOR REPRESENTATION BY ASSOCIATES.
List the businesses that have been represented, excluding activity defined as
lobbying in §2.2-419, before any state governmental agency, excluding any
court or judge, by persons who are your partners, associates or others with
whom you have a close financial association and who received total compensation
in excess of $1,000 for such representation during the past six months,
excluding representation consisting solely of the filing of mandatory papers
and subsequent representation regarding the mandatory papers filed by your
partners, associates or others with whom you have a close financial
association.
Identify such businesses by type and also name the state
governmental agencies before which such person appeared on behalf of such
businesses.
Only STATE officers and employees should complete this
Schedule.
______________________________________________________________
Type of business Name of state governmental agency
____________________ ______________________________________
____________________ ______________________________________
____________________ ______________________________________
____________________ ______________________________________
______________________________________________________________
SCHEDULE G-3 -- PAYMENTS FOR OTHER SERVICES GENERALLY.
Indicate below types of businesses that operate in Virginia
to which services were furnished by you or persons with whom you have a close
financial association pursuant to an agreement between you and such businesses,
or between persons with whom you have a close financial association and such
businesses and for which total compensation in excess of $1,000 was received
during the past six months. Services reported in this Schedule shall not
include services involving the representation of businesses that are reported
in Schedule G-1 or G-2.
Identify opposite each category of businesses listed below
(i) the type of business, (ii) the type of service rendered and (iii) the value
by dollar category of the compensation received for all businesses falling
within each category.
___________________________________________________________________________
Check Value of Compensation
if Type
ser- of
vices ser-
were vice $1,001 $10,001 $50,001 $100,001 $250,001
ren- ren- to to to to and
dered dered $10,000 $50,000 $100,000 $250,000 over
Electric utilities _____ _____ _______ _______ ________ ________ ________
Gas utilities _____ _____ _______ _______ ________ ________ ________
Telephone utilities _____ _____ _______ _______ ________ ________ ________
Water utilities _____ _____ _______ _______ ________ ________ ________
Cable television
companies _____ _____ _______ _______ ________ ________ ________
Interstate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Intrastate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Oil or gas retail
companies _____ _____ _______ _______ ________ ________ ________
Banks _____ _____ _______ _______ ________ ________ ________
Savings institutions _____ _____ _______ _______ ________ ________ ________
Loan or finance
companies _____ _____ _______ _______ ________ ________ ________
Manufacturing
companies (state
type of product,
e.g., textile,
furniture, etc.) _____ _____ _______ _______ ________ ________ ________
Mining companies _____ _____ _______ _______ ________ ________ ________
Life insurance
companies _____ _____ _______ _______ ________ ________ ________
Casualty insurance
companies _____ _____ _______ _______ ________ ________ ________
Other insurance
companies _____ _____ _______ _______ ________ ________ ________
Retail companies _____ _____ _______ _______ ________ ________ ________
Beer, wine or liquor
companies or
distributors _____ _____ _______ _______ ________ ________ ________
Trade associations _____ _____ _______ _______ ________ ________ ________
Professional
associations _____ _____ _______ _______ ________ ________ ________
Associations of
public employees
or officials _____ _____ _______ _______ ________ ________ ________
Counties, cities
or towns _____ _____ _______ _______ ________ ________ ________
Labor organizations _____ _____ _______ _______ ________ ________ ________
Other _____ _____ _______ _______ ________ ________ ________
___________________________________________________________________________
RETURN TO ITEM 9
SCHEDULE H-1 -- REAL ESTATE -- STATE OFFICERS AND
EMPLOYEES.
List real estate other than your principal residence in
which you or a member of your immediate family holds an interest, including a
partnership interest, option, easement, or land contract, valued at more than
$5,000. Each parcel shall be listed individually.
_________________________________________________________________________
Describe the type of real
List each location estate you own in each If the real estate is
(state, and county location (business, recre- owned or recorded in
or city) where you ational, apartment, com- a name other than your
own real estate. mercial, open land, etc.). own, list that name.
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_____________________ __________________________ ______________________
_________________________________________________________________________
SCHEDULE H-2 -- REAL ESTATE -- LOCAL OFFICERS AND
EMPLOYEES.
List real estate other than your principal residence in
which you or a member of your immediate family holds an interest, including a
partnership interest or option, easement, or land contract, valued at more than
$5,000. Each parcel shall be listed individually. Also list the names of any
co-owners of such property, if applicable.
_________________________________________________________________________
Describe the type
of real estate
you own in
each location If the real estate
List each location (business, is owned or rec-
(state, and county recreational, orded in a name
or city) where apartment, com- other than your List the names
you own real mercial, open own, list that of any co-owners,
estate. land, etc.). name. if applicable.
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
__________________ _________________ __________________ _________________
_________________________________________________________________________
SCHEDULE I -- REAL ESTATE CONTRACTS WITH GOVERNMENTAL
AGENCIES.
List all contracts, whether pending or completed within the
past six months, with a governmental agency for the sale or exchange of real
estate in which you or a member of your immediate family holds an interest,
including a corporate, partnership or trust interest, option, easement, or land
contract, valued at more than $10,000. List all contracts with a governmental
agency for the lease of real estate in which you or a member of your immediate
family holds such an interest valued at more than $1,000. This requirement to
disclose an interest in a lease does not apply to an interest derived through
an ownership interest in a business unless the ownership interest exceeds three
percent of the total equity of the business.
State officers and employees report contracts with state
agencies.
Local officers and employees report contracts with local
agencies.
_______________________________________________________________________
List your real estate
interest and the
person or entity,
including the type
of entity, which
is party to
the contract. State the annual
Describe any income from the
management role and List each governmental contract, and the
the percentage agency which is a amount, if any, of
ownership party to the contract income you or any
interest you or your and indicate the immediate family
immediate family county or city where member derives
member has in the real the real estate annually from the
estate or entity. is located. contract.
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
_______________________________________________________________________
§2.2-3118. Disclosure form; certain citizen members.
A. (Effective from January 1, 2016, until July 1, 2016)
The financial disclosure form to be used for filings required pursuant to
subsection B of §2.2-3114 and subsection B of §2.2-3115 shall be filed in
accordance with the provisions of §30-356. The financial disclosure form shall
be substantially as follows: prescribed by the Council.
A. (Effective July 1, 2016) The financial disclosure
form to be used for filings required pursuant to subsection B of §2.2-3114 and
subsection B of §2.2-3115 shall be filed in accordance with the provisions of
§30-356. The financial disclosure form shall be substantially similar to
the following prescribed by the Council. Except as otherwise
provided in §2.2-3115, all completed forms shall be filed electronically with
the Council in accordance with the standards approved by it pursuant to §
30-356.
DEFINITIONS AND EXPLANATORY MATERIAL.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Close financial association" means an
association in which the person filing shares significant financial involvement
with an individual and the filer would reasonably be expected to be aware of
the individual's business activities and would have access to the necessary
records either directly or through the individual.
"Close financial association" does not mean an
association based on (i) the receipt of retirement benefits or deferred
compensation from a business by which the person filing this statement is no
longer employed, or (ii) the receipt of compensation for work performed by the
person filing as an independent contractor of a business that represents an
entity before any state governmental agency when the person filing has no
communications with the state governmental agency.
"Contingent liability" means a liability that is
not presently fixed or determined, but may become fixed or determined in the
future with the occurrence of some certain event.
"Immediate family" means (i) a spouse and (ii)
any other person who resides in the same household as the filer and who is a
dependent of the filer.
"Personal interest" means, for the purposes of
this form only, a personal and financial benefit or liability accruing to a
filer or a member of his immediate family. Such interest shall exist by reason
of (i) ownership in real or personal property, tangible or intangible; (ii)
ownership in a business; (iii) income from a business; or (iv) personal
liability on behalf of a business; however, unless the ownership interest in a
business exceeds three percent of the total equity of the business, or the
liability on behalf of a business exceeds three percent of the total assets of
the business, or the annual income, and/or property or use of such property,
from the business exceeds $10,000 or may reasonably be anticipated to exceed
$10,000, such interest shall not constitute a "personal interest."
Name___________________________________________________________
Office or position held or to be held
_______________________________________________________________
Address_________________________________________________________
I. FINANCIAL INTERESTS
My personal interests and those of my immediate family are
as follows:
Include all forms of personal interests held at the time of
filing: real estate, stocks, bonds, equity interests in proprietorships and
partnerships. You may exclude:
1. Deposits and interest bearing accounts in banks, savings
institutions and other institutions accepting such deposits or accounts;
2. Interests in any business, other than a news medium,
representing less than three percent of the total equity value of the business;
3. Liability on behalf of any business representing less
than three percent of the total assets of such business; and
4. Income (other than from salary) less than $10,000
annually from any business. You need not state the value of any interest. You
must state the name or principal business activity of each business in which
you have a personal interest.
A. My personal interests are:
1. Residence, address, or, if no address, location
______________________________________________________________
2. Other real estate, address, or, if no address, location
______________________________________________________________
3. Name or principal business activity of each business in
which stock, bond or equity interest is held
______________________________________________________________
B. The personal interests of my immediate family are:
1. Real estate, address or, if no address, location
______________________________________________________________
2. Name or principal business activity of each business in
which stock, bond or equity interest is held
______________________________________________________________
II. OFFICES, DIRECTORSHIPS AND SALARIED EMPLOYMENTS
The paid offices, paid directorships and salaried
employments which I hold or which members of my immediate family hold and the
businesses from which I or members of my immediate family receive retirement
benefits are as follows:
(You need not state any dollar amounts.)
A. My paid offices, paid directorships and salaried
employments are:
_____________________________________________________________________
Position held Name of business
_______________________________ __________________________________
_______________________________ __________________________________
_______________________________ __________________________________
_____________________________________________________________________
B. The paid offices, paid directorships and salaried
employments of members of my immediate family are:
_____________________________________________________________________
Position held Name of business
_______________________________ __________________________________
_______________________________ __________________________________
_______________________________ __________________________________
_____________________________________________________________________
III. BUSINESSES TO WHICH SERVICES WERE FURNISHED
A. The businesses I have represented, excluding activity
defined as lobbying in §2.2-419, before any state governmental agency,
excluding any court or judge, for which I have received total compensation in
excess of $1,000 during the preceding year, excluding compensation for other
services to such businesses and representation consisting solely of the filing
of mandatory papers, are as follows:
Identify businesses by name and name the state governmental
agencies before which you appeared on behalf of such businesses.
_____________________________________________________________________
Name of business Name of governmental agency
_____________________________ _________________________________
_____________________________ _________________________________
_____________________________ _________________________________
_____________________________________________________________________
B. The businesses that, to my knowledge, have been
represented, excluding activity defined as lobbying in §2.2-419, before any
state governmental agency, excluding any court or judge, by persons with whom I
have a close financial association and who received total compensation in
excess of $1,000 during the preceding year, excluding compensation for other
services to such businesses and representation consisting solely of the filing
of mandatory papers, are as follows:
Identify businesses by type and name the state governmental
agencies before which such person appeared on behalf of such businesses.
_____________________________________________________________________
Type of business Name of state governmental agency
______________________________ ___________________________________
______________________________ ___________________________________
______________________________ ___________________________________
_____________________________________________________________________
C. All other businesses listed below that operate in
Virginia to which services were furnished pursuant to an agreement between you
and such businesses and for which total compensation in excess of $1,000 was
received during the preceding year:
Check each category of business to which services were
furnished.
_____________________________________________________
Electric utilities __________
Gas utilities __________
Telephone utilities __________
Water utilities __________
Cable television companies __________
Intrastate transportation companies __________
Interstate transportation companies __________
Oil or gas retail companies __________
Banks __________
Savings institutions __________
Loan or finance companies __________
Manufacturing companies (state type
of product, e.g., textile, furniture,
etc.) __________
Mining companies __________
Life insurance companies __________
Casualty insurance companies __________
Other insurance companies __________
Retail companies __________
Beer, wine or liquor companies or
distributors __________
Trade associations __________
Professional associations __________
Associations of public employees or
officials __________
Counties, cities or towns __________
Labor organizations __________
_____________________________________________________
IV. COMPENSATION FOR EXPENSES
The persons, associations, or other sources other than my
governmental agency from which I or a member of my immediate family received
remuneration in excess of $100 during the preceding year, in cash or otherwise,
as honorariums or payment of expenses in connection with my attendance at any
meeting or other function to which I was invited in my official capacity are as
follows:
_______________________________________________________________________
Description Amount of remuneration
Name of Source of occasion for each occasion
_____________________ ______________________ ______________________
_____________________ ______________________ ______________________
_____________________ ______________________ ______________________
_______________________________________________________________________
B. The provisions of Part III A and B of the disclosure
form prescribed by this section shall not be applicable to officers and
employees of local governmental and local advisory agencies.
C. Except for real estate located within the county, city
or town in which the officer or employee serves or a county, city or town
contiguous to the county, city or town in which the officer or employee serves,
officers and employees of local governmental or advisory agencies shall not be
required to disclose under Part I of the form any other interests in real
estate.
§2.2-3118.1. Special provisions for individuals serving in or
seeking multiple positions or offices; reappointees.
A. The filing of a single current statement of economic
interests by a state officer or employee an individual required
to file the form prescribed in §2.2-3117 shall suffice for the purposes of
this chapter as filing for all state positions or offices held or sought
by such individual during a single reporting period. The filing of a single
current financial disclosure statement by a state officer or employee
an individual required to file the form prescribed in §2.2-3118 shall
suffice for the purposes of this chapter as filing for all state
positions or offices held or sought by such individual and requiring the filing
of the §2.2-3118 form during a single reporting period.
B. Any individual who has met the requirement for periodically
filing a statement provided in §2.2-3117 or 2.2-3118 shall not be required to
file an additional statement upon such individual's reappointment to the same
office or position for which he is required to file, provided such
reappointment occurs within six months after filing a statement pursuant to §
2.2-3117 and within 12 months after filing a statement pursuant to §2.2-3118.
§24.2-502. Statement of economic interests as requirement of
candidacy.
It shall be a requirement of candidacy that a written
statement of economic interests shall be filed by (i) a candidate for Governor,
Lieutenant Governor, or Attorney General with the Secretary of the
Commonwealth, (ii) a candidate for the Senate or House of
Delegates with the clerk of the appropriate house, (iii) and
a candidate for a constitutional office with the general registrar for the
county or city, Virginia Conflict of Interest and Ethics Advisory
Council and (iv) (ii) a candidate for member of the governing
body or elected school board of any county, city, or town with a population in
excess of 3,500 persons with the general registrar for the county or city. The
statement of economic interests shall be that specified in §30-111 for
candidates for the General Assembly and in §2.2-3117 for all other candidates.
The foregoing requirement shall not apply to a candidate for reelection to the
same office who has met the requirement of annually filing a statement pursuant
to §2.2-3114, 2.2-3115, or 30-110.
The Secretary of the Commonwealth and the clerks of the
Senate and House of Delegates Virginia Conflict of Interest and Ethics
Advisory Council shall transmit to the State Board, immediately after the
filing deadline, a list of the candidates who have filed initial or annual
statements of economic interests. The general registrar, the clerk of the local
governing body, or the clerk of the school board, as appropriate, shall
transmit to the local electoral board, immediately after the filing deadline, a
list of the candidates who have filed initial or annual statements of economic
interests.
§30-101. Definitions.
As used in this chapter, unless the context requires a
different meaning:
"Advisory agency" means any board, commission,
committee or post which does not exercise any sovereign power or duty, but is
appointed by a governmental agency or officer or is created by law for the
purpose of making studies or recommendations, or advising or consulting with a
governmental agency.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Candidate" means a person who seeks or campaigns
for election to the General Assembly in a general, primary, or special election
and who is qualified to have his name placed on the ballot for the office. The
candidate shall become subject to the provisions of this section upon the
filing of a statement of qualification pursuant to §24.2-501. The State Board
of Elections shall notify each such candidate of the provisions of this
chapter.
"Contract" means any agreement to which a
governmental agency is a party, or any agreement on behalf of a governmental
agency that involves the payment of money appropriated by the General Assembly
or a political subdivision, whether or not such agreement is executed in the
name of the Commonwealth, or some political subdivision thereof.
"Contract" includes a subcontract only when the contract of which it
is a part is with the legislator's own governmental agency.
"Council" means the Virginia Conflict of Interest
and Ethics Advisory Council established in §30-355.
"Financial institution" means any bank, trust company,
savings institution, industrial loan association, consumer finance company,
credit union, broker-dealer as defined in subsection A of §13.1-501, or
investment company or advisor registered under the federal Investment Advisors
Act or Investment Company Act of 1940.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, lodgings and
meals, whether provided in-kind, by purchase of a ticket, payment in advance,
or reimbursement after the expense has been incurred. "Gift" does not
include (i) any offer of a ticket, coupon, or other admission or pass unless
the ticket, coupon, admission, or pass is used; (ii) honorary degrees; (iii)
any athletic, merit, or need-based scholarship or any other financial aid
awarded by a public or private school, institution of higher education, or
other educational program pursuant to such school, institution, or program's
financial aid standards and procedures applicable to the general public; (iv) a
campaign contribution properly received and reported pursuant to Chapter 9.3 (§
24.2-945 et seq.) of Title 24.2; (v) any gift related to the private profession
or occupation of a legislator or of a member of his immediate family; (vi) food
or beverages consumed while attending an event at which the filer is performing
official duties related to his public service; (vii) food and beverages
received at or registration or attendance fees waived for any event at which
the filer is a featured speaker, presenter, or lecturer; (viii) unsolicited
awards of appreciation or recognition in the form of a plaque, trophy, wall
memento, or similar item that is given in recognition of public, civic,
charitable, or professional service; (ix) a devise or inheritance; (x) travel
disclosed pursuant to the Campaign Finance Disclosure Act (§24.2-945 et seq.);
(xi) travel paid for or provided by the government of the United States, any of
its territories, or any state or any political subdivision of such state; (xii)
travel provided to facilitate attendance by a legislator at a regular or
special session of the General Assembly, a meeting of a legislative committee
or commission, or a national conference where attendance is approved by the
House Committee on Rules or its Chairman or the Senate Committee
on Rules or its Chairman; (xiii) travel related to an official meeting
of the Commonwealth, its political subdivisions, or any board, commission,
authority, or other entity, or any charitable organization established pursuant
to §501(c)(3) of the Internal Revenue Code affiliated with such entity, to
which such person has been appointed or elected or is a member by virtue of his
office or employment; or (xiv) gifts with a value of less than $20;
or (xv) gifts from relatives or personal friends. For the purpose of this
definition, "relative" means the donee's spouse, child, uncle, aunt,
niece, nephew, or first cousin; a person to whom the donee is engaged to be
married; the donee's or his spouse's parent, grandparent, grandchild, brother,
sister, step-parent, step-grandparent, step-grandchild, step-brother, or
step-sister; or the donee's brother's or sister's spouse. For the purpose of
this definition, "personal friend" does not include any person that
the filer knows or has reason to know is (a) a lobbyist registered pursuant to
Article 3 (§2.2-418 et seq.) of Chapter 4 of Title 2.2 or (b) a lobbyist's
principal as defined in §2.2-419.
"Governmental agency" means each component part of
the legislative, executive or judicial branches of state and local government,
including each office, department, authority, post, commission, committee, and
each institution or board created by law to exercise some regulatory or
sovereign power or duty as distinguished from purely advisory powers or duties.
"Immediate family" means (i) a spouse and (ii) any
other person who resides in the same household as the legislator and who is a
dependent of the legislator.
"Legislator" means a member of the General Assembly.
"Personal interest" means a financial benefit or
liability accruing to a legislator or to a member of his immediate family. Such
interest shall exist by reason of (i) ownership in a business if the ownership
interest exceeds three percent of the total equity of the business; (ii) annual
income that exceeds, or may reasonably be anticipated to exceed, $5,000 from
ownership in real or personal property or a business; (iii) salary, other
compensation, fringe benefits, or benefits from the use of property, or any
combination thereof, paid or provided by a business or governmental agency that
exceeds, or may reasonably be anticipated to exceed, $5,000 annually; (iv)
ownership of real or personal property if the interest exceeds $5,000 in value and
excluding ownership in a business, income, or salary, other compensation,
fringe benefits or benefits from the use of property; (v) personal liability
incurred or assumed on behalf of a business if the liability exceeds three
percent of the asset value of the business; or (vi) an option for ownership of
a business or real or personal property if the ownership interest will consist
of clause (i) or (iv).
"Personal interest in a contract" means a personal
interest that a legislator has in a contract with a governmental agency,
whether due to his being a party to the contract or due to a personal interest
in a business that is a party to the contract.
"Personal interest in a transaction" means a
personal interest of a legislator in any matter considered by the General
Assembly. Such personal interest exists when an officer or employee or a member
of his immediate family has a personal interest in property or a business, or
represents or provides services to any individual or business and such
property, business or represented or served individual or business (i) is the
subject of the transaction or (ii) may realize a reasonably foreseeable direct
or indirect benefit or detriment as a result of the action of the agency
considering the transaction. A "personal interest in a transaction"
exists only if the legislator or member of his immediate family or an
individual or business represented or served by the legislator is affected in a
way that is substantially different from the general public or from persons
comprising a profession, occupation, trade, business or other comparable and
generally recognizable class or group of which he or the individual or business
he represents or serves is a member.
"Transaction" means any matter considered by the
General Assembly, whether in a committee, subcommittee, or other entity of the
General Assembly or before the General Assembly itself, on which official
action is taken or contemplated.
§30-110. Disclosure.
A. (Effective January 1, 2016, through July 1, 2016) Every
legislator and legislator-elect shall file, as a condition to assuming office,
a disclosure statement of his personal interests and such other information as
is specified required on the form set forth in
prescribed by the Council pursuant to §30-111 and thereafter shall file
such a statement semiannually by December annually on or before
January 15 for the preceding six-month period complete through the last
day of October and by June 15 for the preceding six-month period complete
through the last day of April. When the filing deadline falls on a
Saturday, Sunday, or legal holiday, the disclosure statement shall be filed on
the next day that is not a Saturday, Sunday, or legal holiday. Disclosure forms
shall be made available by the Virginia Conflict of Interest and Ethics
Advisory Council at least 30 days prior to the filing deadline. Members of the
Senate and members of the House of Delegates shall file their disclosure forms
with the Virginia Conflict of Interest and Ethics Advisory Council. The
disclosure forms of the members of the General Assembly shall be maintained as
public records for five years in the office of the Virginia Conflict of
Interest and Ethics Advisory Council. Such forms shall be made public no later
than six weeks after filing.
A. (Effective July 1, 2016) Every legislator and
legislator-elect shall file, as a condition to assuming office, a disclosure
statement of his personal interests and such other information as is
specified required on the form set forth in prescribed by
the Council pursuant to §30-111 and thereafter shall file such a statement
semiannually by December annually on or before January 15 for the
preceding six-month period complete through the last day of October and by June
15 for the preceding six-month period complete through the last day of April.
When the filing deadline falls on a Saturday, Sunday, or legal holiday, the
disclosure statement shall be filed on the next day that is not a Saturday,
Sunday, or legal holiday. Disclosure forms shall be made available by the Virginia
Conflict of Interest and Ethics Advisory Council at least 30 days prior to the
filing deadline. Disclosure forms shall be filed electronically with the
Virginia Conflict of Interest and Ethics Advisory Council in accordance with
the standards approved by it pursuant to §30-356. The disclosure forms of the
members of the General Assembly shall be maintained as public records for five
years in the office of the Virginia Conflict of Interest and Ethics Advisory
Council. Such forms shall be made public no later than six weeks after filing.
B. Candidates for the General Assembly shall file a disclosure
statement of their personal interests as required by §§24.2-500 through
24.2-503.
C. Any legislator who has a personal interest in any
transaction pending before the General Assembly and who is disqualified from
participating in that transaction pursuant to §30-108 and the rules of his
house shall disclose his interest in accordance with the applicable rule of his
house.
§30-110.1. Report of gifts.
Every legislator shall file, on or before May 1, a report
of gifts accepted or received by him or a member of his immediate family during
the period beginning on January 1 complete through adjournment sine die of the
regular session of the General Assembly. The gift report shall be on a form
prescribed by the Council and shall be filed electronically with the Council in
accordance with the standards approved by it pursuant to §30-356. For purposes
of this section, "adjournment sine die" means adjournment on the last
legislative day of the regular session and does not include the ensuing
reconvened session. Any gifts reported pursuant to this section shall not be
listed on the annual disclosure form prescribed by the Council pursuant to §
30-111.
§30-111. Disclosure form.
A. (Effective from January 1, 2016, until July 1, 2016) The
disclosure form to be used for filings required by subsections A and B of §
30-110 shall be substantially similar to the following prescribed by
the Council.
A. (Effective July 1, 2016) The disclosure form to be used for
filings required by subsections A and B of §30-110 shall be substantially
similar to the following prescribed by the Council. All completed
forms shall be filed electronically with the Council in accordance with the standards
approved by it pursuant to §30-356.
STATEMENT OF ECONOMIC INTERESTS.
Name__________________________________________________________
Office or position held or
sought_____________________________________
Address________________________________________________________
Names of members of immediate
family________________________________
DEFINITIONS AND EXPLANATORY MATERIAL.
"Business" means a corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association, trust or foundation,
or any other individual or entity carrying on a business or profession, whether
or not for profit.
"Close financial association" means an
association in which the filer shares significant financial involvement with an
individual and the filer would reasonably be expected to be aware of the
individual's business activities and would have access to the necessary records
either directly or through the individual. "Close financial
association" does not mean an association based on (i) the receipt of
retirement benefits or deferred compensation from a business by which the
legislator is no longer employed, or (ii) the receipt of compensation for work
performed by the legislator as an independent contractor of a business that
represents an entity before any state governmental agency when the legislator
has had no communications with the state governmental agency.
"Contingent liability" means a liability that is
not presently fixed or determined, but may become fixed or determined in the
future with the occurrence of some certain event.
"Gift" means any gratuity, favor, discount,
entertainment, hospitality, loan, forbearance, or other item having monetary
value. It includes services as well as gifts of transportation, lodgings and
meals, whether provided in-kind, by purchase of a ticket, payment in advance or
reimbursement after the expense has been incurred. "Gift" does not
include (i) any offer of a ticket, coupon, or other admission or pass unless
the ticket, coupon, admission, or pass is used; (ii) honorary degrees; (iii)
any athletic, merit, or need-based scholarship or any other financial aid
awarded by a public or private school, institution of higher education, or
other educational program pursuant to such school, institution, or program's
financial aid standards and procedures applicable to the general public; (iv) a
campaign contribution properly received and reported pursuant to Chapter 9.3 (§
24.2-945 et seq.) of Title 24.2; (v) any gift related to the private profession
or occupation of a legislator or of a member of his immediate family; (vi) food
or beverages consumed while attending an event at which the filer is performing
official duties related to his public service; (vii) food and beverages
received at or registration or attendance fees waived for any event at which
the filer is a featured speaker, presenter, or lecturer; (viii) unsolicited
awards of appreciation or recognition in the form of a plaque, trophy, wall
memento, or similar item that is given in recognition of public, civic,
charitable, or professional service; (ix) a devise or inheritance; (x) travel
disclosed pursuant to the Campaign Finance Disclosure Act (§24.2-945 et seq.);
(xi) travel paid for or provided by the government of the United States, any of
its territories, or any state or any political subdivision of such state; (xii)
travel provided to facilitate attendance by a legislator at a regular or
special session of the General Assembly, a meeting of a legislative committee
or commission, or a national conference where attendance is approved by the
House or Senate Committee on Rules; (xiii) travel related to an official
meeting of the Commonwealth, its political subdivisions, or any board,
commission, authority, or other entity, or any charitable organization
established pursuant to §501(c)(3) of the Internal Revenue Code affiliated
with such entity, to which such person has been appointed or elected or is a
member by virtue of his office or employment; or (xiv) gifts from relatives or
personal friends. "Relative" means the donee's spouse, child, uncle,
aunt, niece, nephew, or first cousin; a person to whom the donee is engaged to
be married; the donee's or his spouse's parent, grandparent, grandchild,
brother, sister, step-parent, step-grandparent, step-grandchild, step-brother,
or step-sister; or the donee's brother's or sister's spouse. "Personal
friend" does not include any person that the filer knows or has reason to
know is (a) a lobbyist registered pursuant to Article 3 (§2.2-418 et seq.) of
Chapter 4 of Title 2.2 or (b) a lobbyist's principal as defined in §2.2-419.
"Immediate family" means (i) a spouse and (ii)
any other person who resides in the same household as the legislator and who is
a dependent of the legislator.
"Lobbyist relationship" means (i) an engagement,
agreement, or representation that relates to legal services, consulting
services, or public relations services, whether gratuitous or for compensation,
between a member or member-elect and any person who is, or has been within the
prior calendar year, registered as a lobbyist with the Secretary of the
Commonwealth or (ii) a greater than three percent ownership interest by a
member or member-elect in a business that employs, or engages as an independent
contractor, any person who is, or has been within the prior calendar year,
registered as a lobbyist with the Secretary of the Commonwealth. The disclosure
of a lobbyist relationship shall not (a) constitute a waiver of any
attorney-client or other privilege, (b) require a waiver of any attorney-client
or other privilege for a third party, or (c) be required where a member or
member-elect is employed or engaged by a person and such person also employs or
engages a person in a lobbyist relationship so long as the member or member-elect
has no financial interest in the lobbyist relationship.
TRUST. If you or your immediate family, separately or
together, are the only beneficiaries of a trust, treat the trust's assets as if
you own them directly. If you or your immediate family has a proportional
interest in a trust, treat that proportion of the trust's assets as if you own
them directly. For example, if you and your immediate family have a one-third
interest in a trust, complete your Statement as if you own one-third of each of
the trust's assets. If you or a member of your immediate family created a trust
and can revoke it without the beneficiaries' consent, treat its assets as if
you own them directly.
REPORT TO THE BEST OF INFORMATION AND BELIEF. Information
required on this Statement must be provided on the basis of the best knowledge,
information, and belief of the individual filing the Statement as of the date
of this report unless otherwise stated.
COMPLETE ITEMS 1 THROUGH 11. REFER TO SCHEDULES ONLY IF
DIRECTED.
You may attach additional explanatory information.
1. Offices and Directorships.
Are you or a member of your immediate family a paid officer
or paid director of a business?
EITHER check NO / / OR check YES / / and complete Schedule
A.
2. Personal Liabilities.
Do you or a member of your immediate family owe more than
$5,000 to any one creditor including contingent liabilities? (Exclude debts to
any government and loans secured by recorded liens on property at least equal
in value to the loan.)
EITHER check NO / / OR check YES / / and complete Schedule
B.
3. Securities.
Do you or a member of your immediate family, directly or
indirectly, separately or together, own securities valued in excess of $5,000
invested in one business? Account for mutual funds, limited partnerships and
trusts.
EITHER check NO / / OR check YES / / and complete Schedule
C.
4. Payments for Talks, Meetings, and Publications.
During the past six months did you receive in your capacity
as a legislator lodging, transportation, money, or anything else of value with
a combined value exceeding $100 (i) for a single talk, meeting, or published
work or (ii) for a meeting, conference, or event where your attendance at the
meeting, conference, or event was designed to (a) educate you on issues
relevant to your duties as a legislator, including issues faced by your
constituents, or (b) enhance your knowledge and skills relative to your duties
as a legislator? Do not include payments and reimbursements from the
Commonwealth for meetings attended in your capacity as a legislator; see
Question 11 and Schedule D2 to report such meetings.
EITHER check NO / / OR check YES / / and complete Schedule
D.
5. Gifts.
During the past six months did a business, government, or
individual other than a relative or personal friend (i) furnish you or a member
of your immediate family with any gift or entertainment at a single event, and
the value received exceeded $50 or (ii) furnish you or a member of your
immediate family with gifts or entertainment in any combination and the total
value received exceeded $50, and for which you or the member of your immediate
family neither paid nor rendered services in exchange? Account for
entertainment events only if the average value per person attending the event
exceeded $50. Account for all business entertainment (except if related to the
private profession or occupation of you or the member of your immediate family
who received such business entertainment) even if unrelated to your official
duties.
EITHER check NO / / OR check YES / / and complete Schedule
E.
6. Salary and Wages.
List each employer that pays you or a member of your
immediate family salary or wages in excess of $5,000 annually. (Exclude any
salary received as a member of the General Assembly pursuant to §30-19.11.)
If no reportable salary or wages, check here / /.
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
7. Business Interests and Lobbyist Relationships.
7A. Do you or a member of your immediate family, separately
or together, operate your own business, or own or control an interest in excess
of $5,000 in a business?
EITHER check NO / / OR check YES / / and complete Schedule
F-1.
7B. Do you have a lobbyist relationship as that term is
defined above?
EITHER check NO / / OR check YES / / and complete Schedule
F-2.
8. Payments for Representation and Other Services.
8A. Did you represent any businesses before any state
governmental agencies, excluding courts or judges, for which you received total
compensation during the past six months in excess of $1,000, excluding
compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers and subsequent
representation regarding the mandatory papers?
EITHER check NO / / OR check YES / / and complete Schedule
G-1.
8B. Subject to the same exceptions as in 8A, did persons
with whom you have a close financial association (partners, associates or
others) represent any businesses before any state governmental agency for which
total compensation was received during the past six months in excess of $1,000?
EITHER check NO / / OR check YES / / and complete Schedule
G-2.
8C. Did you or persons with whom you have a close financial
association furnish services to businesses operating in Virginia, pursuant to
an agreement between you and such businesses, or between persons with whom you
have a close financial association and such businesses for which total
compensation in excess of $1,000 was received during the past six months?
Services reported under this provision shall not include services involving the
representation of businesses that are reported under question 8A or 8B above.
EITHER check NO / / OR check YES / / and complete Schedule
G-3.
9. Real Estate.
Do you or a member of your immediate family hold an
interest, including a partnership interest, valued at more than $5,000 in real
property (other than your principal residence) for which you have not already
listed the full address on Schedule F? Account for real estate held in trust.
EITHER check NO / / OR check YES / / and complete Schedule
H.
10. Real Estate Contracts with State Governmental Agencies.
Do you or a member of your immediate family hold an
interest valued at more than $5,000 in real estate, including a corporate,
partnership, or trust interest, option, easement, or land contract, which real
estate is the subject of a contract, whether pending or completed within the
past six months, with a state governmental agency?
If the real estate contract provides for the leasing of the
property to a state governmental agency, do you or a member of your immediate
family hold an interest in the real estate, including a corporate, partnership,
or trust interest, option, easement, or land contract valued at more than
$1,000? Account for all such contracts whether or not your interest is reported
in Schedule F or H. This requirement to disclose an interest in a lease does
not apply to an interest derived through an ownership interest in a business
unless the ownership interest exceeds three percent of the total equity of the
business.
EITHER check NO / / OR check YES / / and complete Schedule
I.
11. Payments by the Commonwealth for Meetings.
During the past six months did you receive lodging,
transportation, money, or anything else of value with a combined value
exceeding $100 from the Commonwealth for a single meeting attended out-of-state
in your capacity as a legislator? Do not include reimbursements from the
Commonwealth for meetings attended in the Commonwealth.
EITHER check NO / / OR check YES / / and complete Schedule
D-2.
For Statements filed in June 2016 and each two years
thereafter, complete the following statement indicating whether you completed
the ethics orientation sessions provided pursuant to law:
I certify that I completed ethics training as required by §
30-129.1. YES / / or NO / /.
Statements of Economic Interests are open for public
inspection.
AFFIRMATION.
In accordance with the rules of the house in which I serve,
if I receive a request that this disclosure statement be corrected, augmented,
or revised in any respect, I hereby pledge that I shall respond promptly to the
request. I understand that if a determination is made that the statement is
insufficient, I will satisfy such request or be subjected to disciplinary
action of my house.
I swear or affirm that the foregoing information is full,
true and correct to the best of my knowledge.
Signature________________________________
(Return only if needed to complete Statement.)
SCHEDULES to STATEMENT OF ECONOMIC INTERESTS.
NAME__________________________________
SCHEDULE A -- OFFICES AND DIRECTORSHIPS.
Identify each business of which you or a member of your
immediate family is a paid officer or paid director.
_______________________________________________________________________
Name of Business Address of Business Position Held and by Whom
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
___________________ _____________________ _________________________
_______________________________________________________________________
RETURN TO ITEM 2
SCHEDULE B -- PERSONAL LIABILITIES.
Report personal liability by checking each category. Report
only debts in excess of $5,000. Do not report debts to any government. Do not
report loans secured by recorded liens on property at least equal in value to
the loan.
Report contingent liabilities below and indicate which
debts are contingent.
1. My personal debts are as follows:
______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage
companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
______________________________________________________________________
2. The personal debts of the members of my immediate family
are as follows:
______________________________________________________________________
Check Check one
appropriate $5,001 to More than
categories $50,000 $50,000
Banks __________ _________
Savings institutions __________ _________
Other loan or finance companies __________ _________
Insurance companies __________ _________
Stock, commodity or other brokerage
companies __________ _________
Other businesses:
(State principal business activity for each
creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
Individual creditors:
(State principal business or occupation of
each creditor and its name.)
____________________________________________ __________ _________
____________________________________________ __________ _________
____________________________________________ __________ _________
______________________________________________________________________
RETURN TO ITEM 3
SCHEDULE C -- SECURITIES.
"Securities" INCLUDES stocks, bonds, mutual funds,
limited partnerships, and commodity futures contracts.
"Securities" EXCLUDES certificates of deposit,
money market funds, annuity contracts, and insurance policies.
Identify each business or Virginia governmental entity in
which you or a member of your immediate family, directly or indirectly,
separately or together, own securities valued in excess of $5,000. Name each
issuer and type of security individually.
Do not list U.S. Bonds or other government securities not
issued by the Commonwealth of Virginia or its authorities, agencies, or local
governments. Do not list organizations that do not do business in this
Commonwealth, but most major businesses conduct business in Virginia. Account
for securities held in trust.
If no reportable securities, check here / /.
__________________________________________________________________________
Check one
Type of Security $5,001 $50,001 More
(stocks, bonds, mutual to to than
Name of Issuer funds, etc.) $50,000 $250,000 $250,000
______________________ _______________________ _______ _______ ________
______________________ _______________________ _______ _______ ________
______________________ _______________________ _______ _______ ________
______________________ _______________________ _______ _______ ________
__________________________________________________________________________
RETURN TO ITEM 4
SCHEDULE D-1 -- PAYMENTS FOR TALKS, MEETINGS, AND
PUBLICATIONS.
List each source from which you received during the past
six months in your capacity as a legislator lodging, transportation, money, or
any other thing of value with a combined value exceeding $100 (i) for your
presentation of a single talk, participation in one meeting, or publication of
a work or (ii) for your attendance at a meeting, conference, or event where your
attendance at the meeting, conference, or event was designed to (a) educate you
on issues relevant to your duties as a legislator, including issues faced by
your constituents, or (b) enhance your knowledge and skills relative to your
duties as a legislator. Any lodging, transportation, money, or other thing of
value received by a legislator that does not satisfy the criteria of clause
(i), (ii)(a), or (ii)(b) shall be listed as a gift on Schedule E. Do not list
payments or reimbursements by the Commonwealth. (See Schedule D-2 for such
payments or reimbursements.) List a payment even if you donated it to charity.
Do not list information about a payment if you returned it within 60 days or if
you received it from an employer already listed under Item 6 or from a source
of income listed on Schedule F.
If no payment must be listed, check here / /.
________________________________________________________________________
Type of Payment
(e.g., Honoraria,
Travel reimburse-
Payer Approximate Value Circumstances ment, etc.)
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________________________________________________________________
RETURN TO ITEM 5
SCHEDULE D-2 -- PAYMENTS BY THE COMMONWEALTH FOR MEETINGS.
List each meeting for which the Commonwealth provided
payments or reimbursements during the past six months to you for lodging,
transportation, money, or any other thing of value with a combined value
exceeding $100 for your participation in your capacity as a legislator. Do not
list payments or reimbursements by the Commonwealth for meetings or travel
within the Commonwealth.
If no payment must be listed, check here / /.
________________________________________________________________________
Type of Payment
(e.g., Travel
reimbursement,
Payer Approximate Value Circumstances etc.)
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________ __________________ _______________ _________________
________________________________________________________________________
SCHEDULE E -- GIFTS.
List each business, governmental entity, or individual
that, during the past six months, (i) furnished you or a member of your
immediate family with any gift or entertainment at a single event, and the
value received exceeded $50 or (ii) furnished you or a member of your immediate
family with gifts or entertainment in any combination and the total value received
exceeded $50, and for which you or the member of your immediate family neither
paid nor rendered services in exchange. List each such gift or event.
Do not list entertainment events unless the average value
per person attending the event exceeded $50. Do not list business entertainment
related to the private profession or occupation of you or the member of your
immediate family who received such business entertainment. Do not list gifts or
other things of value given by a relative or personal friend for reasons
clearly unrelated to your public position. Do not list campaign contributions
publicly reported as required by Chapter 9.3 (§24.2-945 et seq.) of Title 24.2
of the Code of Virginia.
__________________________________________________________________________
Name of Business, City or Exact
Name of Organization, or County Gift or Approximate
Recipient Individual and State Event Value
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
____________ __________________ __________ ___________ ___________
_________________________________________________ ________________________
RETURN TO ITEM 6
SCHEDULE F-1 -- BUSINESS INTERESTS.
Complete this Schedule for each self-owned or family-owned
business (including rental property, a farm, or consulting work), partnership,
or corporation in which you or a member of your immediate family, separately or
together, own an interest having a value in excess of $5,000.
If the enterprise is owned or operated under a trade,
partnership, or corporate name, list that name; otherwise, merely explain the
nature of the enterprise. If rental property is owned or operated under a
trade, partnership, or corporate name, list the name only; otherwise, give the
address of each property. Account for business interests held in trust.
_________________________________________________________________________
Name of
Business
Corporation,
Partnership, Nature of Gross income
Farm; Enterprise
Address of City or (farming, $50,001 More
Rental County law, rental $50,000 to than
Property and State property, etc.) or less $250,000 $250,000
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
______________ _________ _________________ _______ ________ ________
_________________________________________________________________________
RETURN TO ITEM 8
SCHEDULE F-2 -- LOBBYIST RELATIONSHIPS AND PAYMENTS.
Complete this Schedule for each lobbyist relationship with
the following:
(i) any person who is, or has been within the prior calendar
year, registered as a lobbyist with the Secretary of the Commonwealth, or
(ii) any business in which you have a greater than three
percent ownership interest and that business employs, or engages as an
independent contractor, any person who is, or has been within the prior
calendar year, registered as a lobbyist with the Secretary of the Commonwealth.
___________________________________________________________________________
Payments to
Lobbyist
List each person Describe each Dates of $10,000 More than
or business relationship relationship or less $10,000
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
_________________ ______________ ______________ ___________ ___________
___________________________________________________________________________
THE DISCLOSURE OF A LOBBYIST RELATIONSHIP SHALL NOT (I)
CONSTITUTE A WAIVER OF ANY ATTORNEY-CLIENT OR OTHER PRIVILEGE, (II) REQUIRE A
WAIVER OF ANY ATTORNEY-CLIENT OR OTHER PRIVILEGE FOR A THIRD PARTY, OR (III) BE
REQUIRED WHERE A MEMBER OR MEMBER-ELECT IS EMPLOYED OR ENGAGED BY A PERSON AND
SUCH PERSON ALSO EMPLOYS OR ENGAGES A PERSON IN A LOBBYIST RELATIONSHIP SO LONG
AS THE MEMBER OR MEMBER-ELECT HAS NO FINANCIAL INTEREST IN THE LOBBYIST
RELATIONSHIP.
SCHEDULE G-1 -- PAYMENTS FOR REPRESENTATION BY YOU.
List the businesses you represented before any state
governmental agency, excluding any court or judge, for which you received total
compensation during the past six months in excess of $1,000, excluding
compensation for other services to such businesses and representation
consisting solely of the filing of mandatory papers and subsequent
representation regarding the mandatory papers filed by you.
Identify each business, the nature of the representation
and the amount received by dollar category from each such business. You may
state the type, rather than name, of the business if you are required by law
not to reveal the name of the business represented by you.
______________________________________________________________________
Pur-
pose Amount Received
Name Type of
of of Repre- Name $1,001 $10,001 $50,001 $100,001
Busi- Busi- senta- of to to to to $250,001
ness ness tion Agency $10,000 $50,000 $100,000 $250,000 and over
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______ ______ ______ ______ _______ _______ ________ ________ ________
______________________________________________________________________
If you have received $250,001 or more from a single
business within the reporting period, indicate the amount received, rounded to
the nearest $10,000. Amount Received __________.
SCHEDULE G-2 -- PAYMENTS FOR REPRESENTATION BY ASSOCIATES.
List the businesses that have been represented before any
state governmental agency, excluding any court or judge, by persons who are
your partners, associates or others with whom you have a close financial
association and who received total compensation in excess of $1,000 for such
representation during the past six months, excluding representation consisting
solely of the filing of mandatory papers and subsequent representation
regarding the mandatory papers filed by your partners, associates or others
with whom you have a close financial association.
Identify such businesses by type and also name the state
governmental agencies before which such person appeared on behalf of such
businesses.
______________________________________________________________________
Type of Business Name of State Governmental Agency
_____________________________ ______________________________________
_____________________________ ______________________________________
_____________________________ ______________________________________
_____________________________ ______________________________________
______________________________________________________________________
SCHEDULE G-3 -- PAYMENTS FOR OTHER SERVICES GENERALLY.
Indicate below types of businesses that operate in Virginia
to which services were furnished by you or persons with whom you have a close
financial association pursuant to an agreement between you and such businesses,
or between persons with whom you have a close financial association and such
businesses and for which total compensation in excess of $1,000 was received
during the past six months. Services reported in this Schedule shall not
include services involving the representation of businesses that are reported
in Schedule G-1 or G-2 above.
Identify opposite each category of businesses listed below
(i) the type of business, (ii) the type of service rendered and (iii) the value
by dollar category of the compensation received for all businesses falling
within each category.
__________________________________________________________________________
Check
if Type
ser- of Value of Compensation
vices ser-
were vice $1,001 $10,001 $50,001 $100,001
ren- ren- to to to to $250,001
dered dered $10,000 $50,000 $100,000 $250,000 and over
Electric utilities _____ _____ _______ _______ ________ ________ ________
Gas utilities _____ _____ _______ _______ ________ ________ ________
Telephone utilities _____ _____ _______ _______ ________ ________ ________
Water utilities _____ _____ _______ _______ ________ ________ ________
Cable television
companies _____ _____ _______ _______ ________ ________ ________
Interstate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Intrastate
transportation
companies _____ _____ _______ _______ ________ ________ ________
Oil or gas retail
companies _____ _____ _______ _______ ________ ________ ________
Banks _____ _____ _______ _______ ________ ________ ________
Savings
institutions _____ _____ _______ _______ ________ ________ ________
Loan or finance
companies _____ _____ _______ _______ ________ ________ ________
Manufacturing
companies (state
type of product,
e.g., textile,
furniture, etc.) _____ _____ _______ _______ ________ ________ ________
Mining companies _____ _____ _______ _______ ________ ________ ________
Life insurance
companies _____ _____ _______ _______ ________ ________ ________
Casualty insurance
companies _____ _____ _______ _______ ________ ________ ________
Other insurance
companies _____ _____ _______ _______ ________ ________ ________
Retail companies _____ _____ _______ _______ ________ ________ ________
Beer, wine or
liquor companies
or distributors _____ _____ _______ _______ ________ ________ ________
Trade associations _____ _____ _______ _______ ________ ________ ________
Professional
associations _____ _____ _______ _______ ________ ________ ________
Associations of
public employees
or officials _____ _____ _______ _______ ________ ________ ________
Counties, cities
or towns _____ _____ _______ _______ ________ ________ ________
Labor organizations _____ _____ _______ _______ ________ ________ ________
Other _____ _____ _______ _______ ________ ________ ________
__________________________________________________________________________
RETURN TO ITEM 9
SCHEDULE H -- REAL ESTATE.
List real estate other than your principal residence in
which you or a member of your immediate family holds an interest, including a
partnership interest, option, easement, or land contract, valued at $5,000 or
more. Each parcel shall be listed individually.
________________________________________________________________________
Describe the type of real
estate you own in each
List the location location (business, If the real estate is
(state, and county recreational, apartment, owned or recorded in
or city where you commercial, open land, a name other than your
own real estate etc.) own, list that name
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
___________________ _________________________ ______________________
________________________________________________________________________
RETURN TO ITEM 10
SCHEDULE I -- REAL ESTATE CONTRACTS WITH STATE GOVERNMENTAL
AGENCIES.
List all contracts, whether pending or completed within the
past six months, with a state governmental agency for the sale or exchange of
real estate in which you or a member of your immediate family holds an
interest, including a corporate, partnership or trust interest, option,
easement, or land contract, valued at more than $10,000. List all contracts
with a state governmental agency for the lease of real estate in which you or a
member of your immediate family holds such an interest valued at more than
$1,000. This requirement to disclose an interest in a lease does not apply to
an interest derived through an ownership interest in a business unless the
ownership interest exceeds three percent of the total equity of the business.
_______________________________________________________________________
List your real
estate interest and
the person or entity,
including the type of
entity, which is
party to the contract. State the annual
Describe any income from the
management role and List each contract, and the
the percentage governmental agency amount, if any, of
ownership interest which is a party to income you or any
you or your immediate the contract and immediate family
family member has in indicate the county member derives
the real estate or city where the annually from
or entity. real estate is located. the contract.
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
______________________ ________________________ ___________________
_______________________________________________________________________
B. Any legislator who knowingly and intentionally makes a
false statement of a material fact on the Statement of Economic Interests is
guilty of a Class 5 felony and shall be subject to disciplinary action for such
violations by the house in which the legislator sits.
C. The Statement of Economic Interests of all members of each
house shall be reviewed by the Council. If a legislator's Statement is found to
be inadequate as filed, the legislator shall be notified in writing and
directed to file an amended Statement correcting the indicated deficiencies,
and a time shall be set within which such amendment shall be filed. If the
Statement of Economic Interests, in either its original or amended form, is
found to be adequate as filed, the legislator's filing shall be deemed in full
compliance with this section as to the information disclosed thereon.
D. Ten percent of the membership of a house, on the basis of
newly discovered facts, may in writing request the house in which those members
sit, in accordance with the rules of that house, to review the Statement of
Economic Interests of another member of that house in order to determine the
adequacy of his filing. In accordance with the rules of each house, each
Statement of Economic Interests shall be promptly reviewed, the adequacy of the
filing determined, and notice given in writing to the legislator whose
Statement is in issue. Should it be determined that the Statement requires
correction, augmentation or revision, the legislator involved shall be directed
to make the changes required within such time as shall be set under the rules
of each house.
If a legislator, after having been notified in writing in
accordance with the rules of the house in which he sits that his Statement is
inadequate as filed, fails to amend his Statement so as to come into compliance
within the time limit set, he shall be subject to disciplinary action by the
house in which he sits. No legislator shall vote on any question relating to
his own Statement.
§30-356. Powers and duties of the Council.
The Council shall:
1. Prescribe the forms required for complying with the
disclosure requirements of Article 3 and the Acts. These forms shall be the
only forms used to comply with the provisions of Article 3 or the Acts. The
Council shall make available the disclosure forms and shall provide guidance
and other instructions to assist in the completion of the forms;
2. Review all disclosure forms filed by lobbyists
pursuant to Article 3 and by state government officers and employees and
legislators pursuant to the Acts. The Council may review disclosure forms for
completeness, including reviewing the information contained on the face of the
form to determine if the disclosure form has been fully completed and comparing
the disclosures contained in any disclosure form filed by a lobbyist pursuant
to §2.2-426 with other disclosure forms filed with the Council, and requesting
any amendments to ensure the completeness of and correction of errors in the
forms, if necessary. If a disclosure form is found to have not been filed or to
have been incomplete as filed, the Council shall notify the filer in writing
and direct the filer to file a completed disclosure form within a prescribed
period of time, and such notification shall be confidential and is excluded
from the provisions of the Virginia Freedom of Information Act (§2.2-3700 et
seq.);
2. 3. (Effective until July 1, 2016) Accept any
disclosure forms by computer or electronic means in accordance with the
standards approved by the Council and using software meeting standards approved
by it. The Council shall provide software or electronic access for filing the
required disclosure forms to all filers without charge. The Council shall
prescribe the method of execution and certification of electronically filed
forms, including the use of an electronic signature as authorized by the
Uniform Electronic Transactions Act (§59.1-479 et seq.). The Council may
grant extensions as provided in §30-356.2 and may authorize a designee to
grant such extensions;
2. 3. (Effective July 1, 2016) Require all
disclosure forms to be filed electronically in accordance with the standards
approved by the Council. The Council shall provide software or electronic
access for filing the required disclosure forms to all filers without charge.
The Council shall prescribe the method of execution and certification of
electronically filed forms, including the use of an electronic signature as
authorized by the Uniform Electronic Transactions Act (§59.1-479 et seq.).
The Council may grant extensions as provided in §30-356.2 and may authorize a
designee to grant such extensions;
3. 4. Accept and review any statement received
from a filer disputing the receipt by such filer of a gift that has been
disclosed on the form filed by a lobbyist pursuant to Article 3;
4. 5. Beginning July 1, 2016, establish and
maintain a searchable electronic database comprising disclosure forms filed
pursuant to §§2.2-426, 2.2-3117, 2.2-3118, and 30-111. Such database shall be
available to the public through the Council's official website;
5. 6. Furnish, upon request, formal advisory
opinions or guidelines and other appropriate information, including informal
advice, regarding ethics, conflicts issues arising under Article 3 or the Acts,
or a person's duties under Article 3 or the Acts to any person covered by
Article 3 or the Acts or to any agency of state or local government, in an
expeditious manner. The Council may authorize a designee to furnish formal
opinions or informal advice. Formal advisory opinions are public record and
shall be published on the Council's website; however, no formal advisory
opinion furnished by a designee of the Council shall be available to the
public or published until such opinion has been approved by the Council.
Published formal advisory opinions may have such deletions and changes as may
be necessary to protect the identity of the person involved or other persons
supplying information. Informal advice given by the Council or the
Council's designee is confidential, protected by the attorney-client
privilege, and is excluded from the mandatory disclosure provisions
of the Virginia Freedom of Information Act (§2.2-3700 et seq.). Other
records relating to formal advisory opinions or informal advice, including
records of requests, notes, correspondence, and draft versions of such opinions
or advice, shall also be confidential and excluded from the mandatory
disclosure provisions of the Virginia Freedom of Information Act;
6. 7. Conduct training seminars and educational
programs for lobbyists, state and local government officers and employees,
legislators, and other interested persons on the requirements of Article 3 and
the Acts and provide ethics orientation sessions for legislators in compliance
with Article 6 (§30-129.1 et seq.) of Chapter 13;
7. 8. Approve orientation courses conducted
pursuant to §2.2-3128 and, upon request, review the educational materials and
approve any training or course on the requirements of Article 3 and the Acts
conducted for state and local government officers and employees;
8. 9. Publish such educational materials as it
deems appropriate on the provisions of Article 3 and the Acts;
9. 10. Review actions taken in the General
Assembly with respect to the discipline of its members for the purpose of
offering nonbinding advice;
10. 11. Request from any agency of state or
local government such assistance, services, and information as will enable the
Council to effectively carry out its responsibilities. Information provided to
the Council by an agency of state or local government shall not be released to
any other party unless authorized by such agency;
11. 12. Redact from any document or form that is
to be made available to the public any residential address, personal telephone
number, or signature contained on that document or form; and
12. 13. Report on or before December 1 of each
year on its activities and findings regarding Article 3 and the Acts, including
recommendations for changes in the laws, to the General Assembly and the
Governor. The annual report shall be submitted by the chairman as provided in
the procedures of the Division of Legislative Automated Systems for the
processing of legislative documents and reports and shall be published as a
state document.
§30-356.1. Request for approval for certain travel.
A. The Council shall receive and review a request for the
approval of travel submitted by a person required to file the disclosure form
prescribed in §2.2-3117 or 30-111 to accept any travel-related transportation,
lodging, hospitality, food or beverage, or other thing of value that has a
value exceeding $100 where such approval is required pursuant to subsection G
of §2.2-3103.1 or subsection F of §30-103.1. A request for the approval of
travel shall not be required for the following, but such travel shall be
disclosed as may be required by the Acts:
1. Travel disclosed pursuant to the Campaign Finance
Disclosure Act (§24.2-945 et seq.);
2. Travel paid for or provided by the government of the United
States, any of its territories, or any state or any political subdivision of
such state;
3. Travel provided to facilitate attendance by a legislator at
a regular or special session of the General Assembly, a meeting of a
legislative committee or commission, or a national conference where attendance
is approved by the House Committee on Rules or its Chairman or the
Senate Committee on Rules or its Chairman; or
4. Travel related to an official meeting of the Commonwealth,
its political subdivisions, or any board, commission, authority, or other
entity, or any charitable organization established pursuant to §501(c)(3) of
the Internal Revenue Code affiliated with such entity, to which such person has
been appointed or elected or is a member by virtue of his office or employment.
B. When reviewing a request for the approval of travel, the
Council shall consider the purpose of the travel as it relates to the official
duties of the requester. The Council shall approve any request for travel that
bears a reasonable relationship between the purpose of the travel and the official
duties of the requester. Such travel shall include any meeting, conference, or
other event (i) composed primarily of public officials, (ii) at which public
policy related to the duties of the requester will be discussed in a
substantial manner, (iii) reasonably expected to educate the requester on
issues relevant to his official duties or to enhance the requester's knowledge
and skills relative to his official duties, or (iv) at which the requester has
been invited to speak regarding matters reasonably related to the requester's
official duties.
C. The Council shall not approve any travel requests that bear
no reasonable relationship between the purpose of the proposed travel and the
official duties of the requester. In making such determination, the Council
shall consider the duration of travel, the destination of travel, the estimated
value of travel, and any previous or recurring travel.
D. Within five business days of receipt of a request for the approval
of travel, the Council shall grant or deny the request, unless additional
information has been requested. If additional information has been requested,
the Council shall grant or deny the request for the approval within five
business days of receipt of such information. If the Council has not granted or
denied the request for approval of travel or requested additional information
within such five-day period, such travel shall be deemed to have been approved
by the Council. Nothing in this subsection shall preclude a person from
amending or resubmitting a request for the approval of travel. The Council may
authorize a designee to review and grant or deny requests for the approval of
travel.
E. A request for the approval of travel shall be on a form prescribed
by the Council and made available on its website. Such form may be submitted by
electronic means, facsimile, in-person submission, or mail or commercial mail
delivery.
F. No person shall be prosecuted, assessed a civil penalty, or
otherwise disciplined for acceptance of a travel-related thing of value if he
accepted the travel-related thing of value after receiving approval under this
section, regardless of whether such approval is later withdrawn, provided the
travel occurred prior to the withdrawal of the approval.
§30-356.2. Right to grant extensions in special
circumstances.
Notwithstanding any other provision of law, any person
required to file the disclosure form prescribed in Article 3 or the Acts shall
be entitled to an extension where good cause for granting such an extension has
been shown, as determined by the Council. Good cause shall include:
1. The death of a relative of the filer, as relative is
defined in the definition of "gift" in Article 3 or the Acts.
2. A state of emergency is declared by the Governor
pursuant to Chapter 3.2 (§44-146.13 et seq.) of Title 44 or declared by the
President of the United States or the governor of another state pursuant to law
and confirmed by the Governor by an executive order, and such an emergency
interferes with the timely filing of disclosure forms. The extension shall be
granted only for those filers in areas affected by such emergency.
3. The filer is a member of a uniformed service of the
United States and is on active duty on the date of the filing deadline.
4. A failure of the electronic filing system and the
failure of such system prevents the timely filing of disclosure forms.
2. That an emergency exists and the provisions of §30-356.2
as created by this act and the provisions (i) amending the definition of
"procurement transaction" in §2.2-419 of the Code of Virginia, (ii)
amending the requirement to disclose the names of officials or members of their
family attending entertainment events in §2.2-426 of the Code of Virginia, and
(iii) amending §30-356 of the Code of Virginia are in force from the passage
of this act and that the remaining provisions of this act shall become
effective in due course except as provided in the third enactment.
3. That the provisions of this act eliminating the forms set
forth in §§2.2-426, 2.2-3117, 2.2-3118, and 30-111 of the Code of Virginia
shall become effective on January 1, 2017, and that the Virginia Conflict of
Interest and Ethics Advisory Council shall prescribe on or before January 1,
2017, the forms required for complying with the disclosure requirements of §§
2.2-426, 2.2-3117, 2.2-3118, and 30-111.
4. That, notwithstanding the effective date of this act, a
lobbyist shall not be required to file a report of expenditures pursuant to §
2.2-426 of the Code of Virginia until July 1, 2017, for the preceding 12-month
period complete through the last day of April.
5. That the Supreme Court of Virginia shall report to the
Virginia Conflict of Interest and Ethics Advisory Council on the application of
the State and Local Government Conflict of Interests Act to members of the
judiciary. Such report shall be made no later than October 1, 2016, and shall
include an evaluation of the feasibility of creating separate statutory
provisions applicable to members of the judiciary. In making its report, the
Supreme Court of Virginia shall consult with staff of the Virginia Conflict of
Interest and Ethics Advisory Council, statewide bar associations, and others as
the Court deems necessary.
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